[Title 14 CFR ]
[Code of Federal Regulations (annual edition) - January 1, 2013 Edition]
[From the U.S. Government Printing Office]
[[Page i]]
Title 14
Aeronautics and Space
________________________
Parts 200 to 1199
Revised as of January 1, 2013
Containing a codification of documents of general
applicability and future effect
As of January 1, 2013
Published by the Office of the Federal Register
National Archives and Records Administration as a
Special Edition of the Federal Register
[[Page ii]]
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[[Page iii]]
Table of Contents
Page
Explanation................................................. v
Title 14:
Chapter II--Office of the Secretary, Department of
Transportation (Aviation Proceedings) 3
Chapter III--Commercial Space Transportation,
Federal Aviation Administration, Department of
Transportation 493
Finding Aids:
Table of CFR Titles and Chapters........................ 917
Alphabetical List of Agencies Appearing in the CFR...... 937
List of CFR Sections Affected........................... 947
[[Page iv]]
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Cite this Code: CFR
To cite the regulations in
this volume use title,
part and section number.
Thus, 14 CFR 200.1 refers
to title 14, part 200,
section 1.
----------------------------
[[Page v]]
EXPLANATION
The Code of Federal Regulations is a codification of the general and
permanent rules published in the Federal Register by the Executive
departments and agencies of the Federal Government. The Code is divided
into 50 titles which represent broad areas subject to Federal
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name of the issuing agency. Each chapter is further subdivided into
parts covering specific regulatory areas.
Each volume of the Code is revised at least once each calendar year
and issued on a quarterly basis approximately as follows:
Title 1 through Title 16.................................as of January 1
Title 17 through Title 27..................................as of April 1
Title 28 through Title 41...................................as of July 1
Title 42 through Title 50................................as of October 1
The appropriate revision date is printed on the cover of each
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LEGAL STATUS
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HOW TO USE THE CODE OF FEDERAL REGULATIONS
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To determine whether a Code volume has been amended since its
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OMB CONTROL NUMBERS
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Federal agencies to display an OMB control number with their information
collection request.
[[Page vi]]
Many agencies have begun publishing numerous OMB control numbers as
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(a) The incorporation will substantially reduce the volume of
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(b) The matter incorporated is in fact available to the extent
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(c) The incorporating document is drafted and submitted for
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this volume.
[[Page vii]]
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Charles A. Barth,
Director,
Office of the Federal Register.
January 1, 2013.
[[Page ix]]
THIS TITLE
Title 14--Aeronautics and Space is composed of five volumes. The
parts in these volumes are arranged in the following order: Parts 1-59,
60-109, 110-199, 200-1199, and part 1200-End. The first three volumes
containing parts 1-199 are comprised of chapter I--Federal Aviation
Administration, Department of Transportation (DOT). The fourth volume
containing parts 200-1199 is comprised of chapter II--Office of the
Secretary, DOT (Aviation Proceedings) and chapter III--Commercial Space
Transportation, Federal Aviation Administration, DOT. The fifth volume
containing part 1200-End is comprised of chapter V--National Aeronautics
and Space Administration and chapter VI--Air Transportation System
Stabilization. The contents of these volumes represent all current
regulations codified under this title of the CFR as of January 1, 2013.
For this volume, Susannah C. Hurley was Chief Editor. The Code of
Federal Regulations publication program is under the direction of
Michael L. White, assisted by Ann Worley.
[[Page 1]]
TITLE 14--AERONAUTICS AND SPACE
(This book contains parts 200 to 1199)
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Part
chapter ii--Office of the Secretary, Department of
Transportation (Aviation Proceedings)..................... 200
chapter iii--Commercial Space Transportation, Federal
Aviation Administration, Department of Transportation..... 400
[[Page 3]]
CHAPTER II--OFFICE OF THE SECRETARY, DEPARTMENT OF TRANSPORTATION
(AVIATION PROCEEDINGS)
--------------------------------------------------------------------
Editorial Note: Chapter II was transferred from the Civil Aeronautics
Board to the Department of Transportation on January 1, 1985. For a
document giving the disposition of CAB regulations once the Agency
ceased to exist, see 50 FR 452, Jan. 4, 1985.
Editorial Note: Nomenclature changes to Chapter II appear by Docket
No. DOT-OST-2008-0173, 73 FR 33327, June 12, 2008.
SUBCHAPTER A--ECONOMIC REGULATIONS
Part Page
200 Definitions and instructions................ 7
201 Air carrier authority under Subtitle VII of
Title 49 of the United States Code--
[Amended]............................... 7
203 Waiver of Warsaw Convention liability limits
and defenses............................ 9
204 Data to support fitness determinations...... 10
205 Aircraft accident liability insurance....... 17
206 Certificates of public convenience and
necessity: Special authorizations and
exemptions.............................. 21
207 Charter trips by U.S. scheduled air carriers 23
208 Charter trips by U.S. charter air carriers.. 23
211 Applications for permits to foreign air
carriers................................ 23
212 Charter rules for U.S. and foreign direct
air carriers............................ 29
213 Terms, conditions and limitations of foreign
air carrier permits..................... 38
214 Terms, conditions, and limitations of
foreign air carrier permits authorizing
charter transportation only............. 41
215 Use and change of names of air carriers,
foreign air carriers and commuter air
carriers................................ 41
216 Commingling of blind sector traffic by
foreign air carriers.................... 42
217 Reporting traffic statistics by foreign air
carriers in civilian scheduled, charter,
and nonscheduled services............... 44
[[Page 4]]
218 Lease by foreign air carrier or other
foreign person of aircraft with crew.... 52
221 Tariffs..................................... 54
222 Intermodal cargo services by foreign air
carriers................................ 83
223 Free and reduced-rate transportation........ 87
232 Transportation of mail, review of orders of
Postmaster General...................... 90
234 Airline service quality performance reports. 92
240 Inspection of accounts and property......... 98
241 Uniform system of accounts and reports for
large certificated air carriers......... 99
243 Passenger manifest information.............. 184
244 Reporting tarmac delay data................. 187
247 Direct airport-to-airport mileage records... 189
248 Submission of audit reports................. 189
249 Preservation of air carrier records......... 190
250 Oversales................................... 195
252 Smoking aboard aircraft..................... 202
253 Notice of terms of contract of carriage..... 203
254 Domestic baggage liability.................. 205
255 Airline computer reservations systems....... 206
256
[Reserved]
257 Disclosure of code-sharing arrangements and
long-term wet leases.................... 209
258 Disclosure of change-of-gauge services...... 211
259 Enhanced protections for airline passengers. 212
271 Guidelines for subsidizing air carriers
providing essential air transportation.. 217
272 Essential air service to the Freely
Associated States....................... 219
291 Cargo operations in interstate air
transportation.......................... 223
292 International cargo transportation.......... 233
293 International passenger transportation...... 234
294 Canadian charter air taxi operators......... 236
296 Indirect air transportation of property..... 243
297 Foreign air freight forwarders and foreign
cooperative shippers associations....... 244
298 Exemptions for air taxi and commuter air
carrier operations...................... 248
SUBCHAPTER B--PROCEDURAL REGULATIONS
300 Rules of conduct in DOT proceedings under
this chapter............................ 265
302 Rules of practice in proceedings............ 272
303 Review of air carrier agreements............ 328
305 Rules of practice in informal nonpublic
investigations.......................... 333
[[Page 5]]
313 Implementation of the Energy Policy and
Conservation Act........................ 335
314
[Reserved]
323 Terminations, suspensions, and reductions of
service................................. 338
325 Essential air service procedures............ 343
330 Procedures for compensation of air carriers. 345
331
[Reserved]
SUBCHAPTER C [RESERVED]
SUBCHAPTER D--SPECIAL REGULATIONS
372 Overseas military personnel charters........ 366
374 Implementation of the Consumer Credit
Protection Act with respect to air
carriers and foreign air carriers....... 373
374a Extension of credit by airlines to Federal
political candidates.................... 374
375 Navigation of foreign civil aircraft within
the United States....................... 378
377 Continuance of expired authorizations by
operation of law pending final
determination of applications for
renewal thereof......................... 389
380 Public charters............................. 391
381 Special event tours......................... 408
382 Nondiscrimination on the basis of disability
in air travel........................... 410
383 Civil penalties............................. 447
SUBCHAPTER E--ORGANIZATION
385 Staff assignments and review of action under
assignments............................. 449
389 Fees and charges for special services....... 462
SUBCHAPTER F--POLICY STATEMENTS
398 Guidelines for individual determinations of
basic essential air service............. 468
399 Statements of general policy................ 471
[[Page 7]]
SUBCHAPTER A_ECONOMIC REGULATIONS
PART 200_DEFINITIONS AND INSTRUCTIONS--Table of Contents
Sec.
200.1 Terms and definitions.
200.2 Instructions.
Authority: 49 U.S.C. Chapters 401, 411, 413, 415, 417, 461.
Sec.200.1 Terms and definitions.
Unless otherwise specifically stated, words and phrases other than
those listed in this section have the meaning defined in the Statute.
(a) Board or CAB means the Civil Aeronautics Board.
(b) Department or DOT means the Department of Transportation.
(c) Act means the Federal Aviation Act of 1958, as amended.
(d) Section refers to a section of the Statute or a section of the
regulations in this chapter, as indicated by the context. The terms this
section, pursuant to this section, in accordance with the provisions of
this section, and words of similar import when used in this chapter
refer to the section of this subchapter in which such terms appear.
(e) Rule, regulation, and order refer to the rules, regulations, and
orders prescribed by the Board or the Department pursuant to the
Statute.
(f) Statute when used in this chapter means Subtitle VII of Title 49
of the United States Code (Transportation).
(g) FAA means the Federal Aviation Administration, U.S. Department
of Transportation.
(h) BTS means the Bureau of Transportation Statistics, U.S.
Department of Transportation.
[Doc. No. 47939, 57 FR 40100, Sept. 2, 1992, as amended by Amdt. No.
OST-95-397, 60 FR 43523, Aug. 22, 1995; 60 FR 66722, Dec. 26, 1995]
Sec.200.2 Instructions.
The regulations of the Department may be cited by section numbers.
For example, this regulation may be cited as ``Sec.200.2 of the
Aviation Economic Regulations.'' The sections contained in the Rules of
Practice may also be cited by appropriate rule numbers. (See Sec.
302.1(c) of this chapter.) For example, 14 CFR 302.10 may be cited as
``rule 10 of the Rules of Practice.''
[Doc. No. 47939, 57 FR 40100, Sept. 2, 1992, as amended at 65 FR 6456,
Feb. 9, 2000]
PART 201_AIR CARRIER AUTHORITY UNDER SUBTITLE VII OF TITLE 49
OF THE UNITED STATES CODE_[AMENDED]--Table of Contents
Subpart A_Application Procedures
Sec.
201.1 Formal requirements.
201.2 Amendments.
201.3 Incorporation by reference.
201.4 General provisions concerning contents.
201.5 Advertising and sales by applicants.
Subpart B_Certificate Terms, Conditions, and Limitations
201.6 Applicability.
201.7 General certificate conditions.
Authority: 5 U.S.C. 1008; 49 U.S.C. Chapters 401, 411, 413, 415,
417.
Source: Docket No. 47582, 57 FR 38765, Aug. 27, 1992, unless
otherwise noted.
Subpart A_Application Procedures
Sec.201.1 Formal requirements.
(a) Applications for certificates of public convenience and
necessity under section 41102 of the Statute and for interstate all-
cargo air transportation certificates under section 41103 of the Statute
shall meet the requirements set forth in part 302 of this chapter as to
general requirements, execution, number of copies, service, and formal
specifications of papers.
(b) Any person desiring to provide air transportation as a commuter
air carrier must comply with the provisions of part 298 of this chapter
and submit data to support a fitness determination in accordance with
part 204 of this chapter. An executed original plus two (2) true copies
of the fitness data shall be filed with DOT Dockets, 1200 New Jersey
Avenue, SE., Washington, DC 20590-0002. Requests for confidential
treatment of documents should be filed
[[Page 8]]
in accordance with the requirements of part 302 of this chapter.
(Approved by the Office of Management and Budget under control number
2106-0023)
[Docket No. 47582, 57 FR 38765, Aug. 27, 1992, as amended at 60 FR
43523, Aug. 22, 1995; 64 FR 3212, Jan. 21, 1999; 70 FR 25767, May 16,
2005]
Sec.201.2 Amendments.
If, after receipt of any application, the Department asks the
applicant to supply additional information, such information shall be
furnished in the form of a supplement to the original application.
Sec.201.3 Incorporation by reference.
Incorporation by reference shall be avoided. However, where two or
more applications are filed by a single carrier, lengthy exhibits or
other documents attached to one may be incorporated in the others by
reference if that procedure will substantially reduce the cost to the
applicant.
Sec.201.4 General provisions concerning contents.
(a) All pages of an application shall be consecutively numbered, and
the application shall clearly describe and identify each exhibit by a
separate number or symbol. All exhibits shall be deemed to constitute a
part of the application to which they are attached.
(b) All amendments to applications shall be consecutively numbered
and shall comply with the requirements of this part.
(c) Requests for authority to engage in interstate air
transportation shall not be included in the same application with
requests for authority to engage in foreign air transportation.
Similarly, requests for authority to engage in scheduled air
transportation under section 41102 of the Statute shall not be included
in the same application with requests for authority to engage in charter
air transportation under section 41102 of the Statute or with requests
for authority to engage in interstate all-cargo air transportation under
section 41103 of the Statute.
(d) Each application shall specify the type or types of service
(passengers, property or mail) to be rendered and whether such services
are to be rendered on scheduled or charter operations.
(e) Each application for foreign scheduled air transportation shall
include an adequate identification of each route for which a certificate
is desired, including the terminal and intermediate points to be
included in the certificate for which application is made.
(f) Each application shall give full and adequate information with
respect to each of the relevant filing requirements set forth in part
204 of this chapter. In addition, the application may contain such other
information and data as the applicant shall deem necessary or
appropriate in order to acquaint the Department fully with the
particular circumstances of its case; however, the statements contained
in an application shall be restricted to significant and relevant facts.
(Approved by the Office of Management and Budget under control number
2106-0023)
[Docket No. 47582, 57 FR 38765, Aug. 27, 1992, as amended at 60 FR
43523, Aug. 22, 1995]
Sec.201.5 Advertising and sales by applicants.
(a) An applicant for new or amended certificate or commuter air
carrier authority shall not:
(1) Advertise, list schedules, or accept reservations for the air
transportation covered by its application until the application has been
approved by the Department; or
(2) Accept payment or issue tickets for the air transportation
covered by its application until the authority or amended authority has
become effective or the Department issues a notice authorizing sales.
(b) An applicant for new or amended certificate or commuter air
carrier authority may not advertise or publish schedule listings for the
air transportation covered by its application after the application has
been approved by the Department (but before all authority issued by DOT,
including the FAA, becomes effective) unless such advertising or
schedule listings prominently state: ``This service is subject to
receipt of government operating authority.''
[[Page 9]]
Subpart B_Certificate Terms, Conditions, and Limitations
Sec.201.6 Applicability.
Unless the certificate or the order authorizing its issuance shall
otherwise provide, such terms, conditions and limitations as are set
forth in this part, and as may from time to time be prescribed by the
Department, shall apply to the exercise of the privileges granted by
each certificate issued under section 41102 or section 41103 of the
Statute.
[Docket No. 47582, 57 FR 38765, Aug. 27, 1992, as amended at 60 FR
43523, Aug. 22, 1995]
Sec.201.7 General certificate conditions.
(a) It shall be a condition upon the holding of a certificate that
any intentional failure by the holder to comply with any provision of
Statute or any order, rule, or regulation issued thereunder or any term,
condition, or limitation of such certificate shall be a failure to
comply with the terms, conditions, and limitations of the certificate
within the meaning of section 41110 of the Statute even though the
failure to comply occurred outside the territorial limits of the United
States, except to the extent that such failure shall be necessitated by
an obligation, duty, or liability imposed by a foreign country.
(b) Failure to file the reports required by part 241, 291, or 298 of
this chapter shall be sufficient grounds to revoke a certificate.
(c) The authority to transport U.S. mail under a certificate is
permissive, unless the Department, by order or rule, directs a carrier
or class of carriers to transport mail on demand of the U.S. Postal
Service; such certificate confers no right to receive subsidy, for the
carriage of mail or otherwise.
(d) An all-cargo air transportation certificate shall confer no
right to carry passengers, other than cargo attendants accompanying a
shipment, or to engage in any air transportation outside the
geographical scope of interstate cargo transportation. Such certificate
shall not, however, restrict the right of the holder to provide
scheduled, charter, contract, or other transportation of cargo, by air,
within that geographical scope.
(e) It shall be a condition upon the holding of a certificate that
the holder have and maintain in effect and on file with the Department a
signed counterpart of Agreement 18900 (OST Form 4523), and a tariff (for
those carriers otherwise generally required to file tariffs) that
includes its terms, and that the holder comply with all other
requirements of part 203. OST Form 4523 may be obtained from the Office
of Aviation Analysis, Special Authorities Division.
[Docket No. 47582, 57 FR 38765, Aug. 27, 1992, as amended at 60 FR
43523, Aug. 22, 1995]
PART 203_WAIVER OF WARSAW CONVENTION LIABILITY LIMITS AND DEFENSES
--Table of Contents
Sec.
203.1 Scope.
203.2 Applicability.
203.3 Filing requirements for adherence to Montreal Agreement.
203.4 Montreal Agreement as part of airline-passenger contract and
conditions of carriage.
203.5 Compliance as condition on operations in air transportation.
Authority: 49 U.S.C. Chapters 401, 411, 413, 415, 417.
Source: ER-1324, 48 FR 8044, Feb. 25, 1983, unless otherwise noted.
Sec.203.1 Scope.
This part requires that certain U.S. and foreign direct air carriers
waive the passenger liability limits and certain carrier defenses in the
Warsaw Convention in accordance with the provisions of Agreement 18900,
dated May 13, 1966, and provides that acceptance of authority for, or
operations by the carrier in, air transportation shall be considered to
act as such a waiver by that carrier.
[ER-1324, 48 FR 8044, Feb. 25, 1983, as amended by Docket No. 47939, 57
FR 40100, Sept. 2, 1992]
Sec.203.2 Applicability.
This part applies to all direct U.S. and foreign direct air
carriers, except for air taxi operators as defined in part
[[Page 10]]
298 of this chapter that (a) are not commuter air carriers, (b) do not
participate in interline agreements, and (c) do not engage in foreign
air transportation.
Sec.203.3 Filing requirements for adherence to Montreal Agreement.
All direct U.S. and foreign air carriers shall have and maintain in
effect and on file in the Department's Documentary Services Division
(Docket 17325) on OST Form 4523 a signed counterpart to Agreement 18900,
an agreement relating to liability limitations of the Warsaw Convention
and Hague Protocol approved by CAB Order E-23680, dated May 13, 1966
(the Montreal Agreement), and a signed counterpart of any amendment or
amendments to such Agreement that may be approved by the Department and
to which the air carrier or foreign air carrier becomes a party. U.S.
air taxi operators registering under part 298 of this chapter and
Canadian charter air taxi operators registering under part 294 of this
chapter may comply with this requirement by filing completed OST Forms
4507 and 4523, respectively, in accordance with the provisions of those
parts.
[Docket No. 47939, 57 FR 40100, Sept. 2, 1992, as amended at 60 FR
43523, Aug. 22, 1995; 70 FR 25767, May 16, 2005]
Sec.203.4 Montreal Agreement as part of airline-passenger contract
and conditions of carriage.
(a) As required by the Montreal Agreement, carriers that are
otherwise generally required to file tariffs shall file with the
Department's Tariffs Division a tariff that includes the provisions of
the counterpart to Agreement 18900.
(b) As further required by that Agreement, each participating
carrier shall include the Agreement's terms as part of its conditions of
carriage. The participating carrier shall give each of its passengers
the notice required by the Montreal Agreement as provided in Sec.
221.175 of this chapter.
(c) Participation in the Montreal Agreement, whether by signing the
Agreement, filing a signed counterpart to it under Sec.203.3, or by
operation of law under Sec.203.5, shall constitute a special agreement
between the carrier and its passengers as a condition of carriage that a
liability limit of not less than $75,000 (U.S.) shall apply under
Article 22(1) of the Warsaw Convention for passenger injury and death.
Such participation also constitutes a waiver of the defense under
Article 20(1) of the Convention that the carrier was not negligent.
(The reporting provisions contained in paragraph (a) were approved by
the Office of Management and Budget under control number 3024-0064.)
[ER-1324, 48 FR 8044, Feb. 25, 1983, as amended by ER-1338, 48 FR 31013,
July 6, 1983; Docket No. 47939, 57 FR 40100, Sept. 2, 1992]
Sec.203.5 Compliance as condition on operations in air transportation.
It shall be a condition on the authority of all direct U.S. and
foreign carriers to operate in air transportation that they have and
maintain in effect and on file with the Department a signed counterpart
of Agreement 18900, and a tariff (for those carriers otherwise generally
required to file tariffs) that includes its provisions, as required by
this subpart. Notwithstanding any failure to file that counterpart and
such tariff, any such air carrier or foreign air carrier issued license
authority (including exemptions) by the Department or operating in air
transportation shall be deemed to have agreed to the provisions of
Agreement 18900 as fully as if that air carrier or foreign air carrier
had in fact filed a properly executed counterpart to that Agreement and
tariff.
[ER-1324, 48 FR 8044, Feb. 25, 1983, as amended by Docket No. 47939, 57
FR 40100, Sept. 2, 1992]
PART 204_DATA TO SUPPORT FITNESS DETERMINATIONS--Table of Contents
Subpart A_General Provisions
Sec.
204.1 Purpose.
204.2 Definitions.
Subpart B_Filing Requirements
204.3 Applicants for new certificate or commuter air carrier authority.
204.4 Carriers proposing to provide essential air service.
[[Page 11]]
204.5 Certificated and commuter air carriers undergoing or proposing to
undergo substantial change in operations, ownership, or
management.
204.6 Certificated and commuter air carriers proposing a change in
operations, ownership, or management which is not substantial.
204.7 Revocation for dormancy.
Authority: 49 U.S.C. Chapters 401, 411, 417.
Source: Docket No. 47582, 57 FR 38766, Aug. 27, 1992, unless
otherwise noted.
Subpart A_General Provisions
Sec.204.1 Purpose.
This part sets forth the fitness data that must be submitted by
applicants for certificate authority, by applicants for authority to
provide service as a commuter air carrier to an eligible place, by
carriers proposing to provide essential air transportation, and by
certificated air carriers and commuter air carriers proposing a
substantial change in operations, ownership, or management. This part
also contains the procedures and filing requirements applicable to
carriers that hold dormant authority.
[72 FR 20036, Apr. 23, 2007]
Sec.204.2 Definitions.
As used in this part:
(a) All-cargo air carrier or section 41103 carrier means an air
carrier holding an all-cargo air transportation certificate issued under
section 41103 of the Statute authorizing the transportation by aircraft
in interstate air transportation of only property or only mail, or both.
(b) Certificate authority means authority to provide air
transportation granted by the Department of Transportation or Civil
Aeronautics Board in the form of a certificate of public convenience and
necessity under section 41102 of the Statute or an all-cargo air
transportation certificate to perform all-cargo air transportation under
section 41103 of the Statute. Certificated carriers are those that hold
certificate authority.
(c) Citizen of the United States means:
(1) An individual who is a citizen of the United States;
(2) A partnership each of whose partners is an individual who is a
citizen of the United States; or
(3) A corporation or association organized under the laws of the
United States or a State, the District of Columbia, or a territory or
possession of the United States, of which the president and at least
two-thirds of the board of directors and other managing officers are
citizens of the United States, which is under the actual control of
citizens of the United States, and in which at least 75 percent of the
voting interest is owned or controlled by persons that are citizens of
the United States.
(d) Commuter air carrier means an air carrier holding or seeking
authority under part 298 of this Chapter that carries passengers on at
least five round trips per week on at least one route between two or
more points according to its published flight schedules that specify the
times, days of the week, and places between which those flights are
performed.
(e) Eligible place means a place in the United States that--
(1) Was an eligible point under section 419 of the Federal Aviation
Act of 1958 as in effect before October 1, 1988;
(2) Received scheduled air transportation at any time between
January 1, 1990, and November 4, 1990; and
(3) Is not listed in Department of Transportation Orders 89-9-37 and
89-12-52 as a place ineligible for compensation under Subchapter II of
Chapter 417 of the Statute.
(f) Essential air service is that air transportation which the
Department has found to be essential under Subchapter II of Chapter 417
of the Statute.
(g) Fit means fit, willing, and able to perform the air
transportation in question properly and to conform to the provisions of
the Statute and the rules, regulations and requirements issued under the
Statute.
(h) Interstate air transportation means the transportation of
passengers or property by aircraft as a common carrier for compensation,
or the transportation of mail by aircraft--
(1) Between a place in--
(i) A State, territory, or possession of the United States and a
place in the
[[Page 12]]
District of Columbia or another State, territory, or possession of the
United States;
(ii) Hawaii and another place in Hawaii through the airspace over a
place outside Hawaii;
(iii) The District of Columbia and another place in the District of
Columbia; or
(iv) A territory or possession of the United States and another
place in the same territory or possession; and
(2) When any part of the transportation is by aircraft.
(i) Key personnel include the directors, president, chief executive
officer, chief operating officer, all vice presidents, the directors or
supervisors of operations, maintenance, and finance, and the chief pilot
of the applicant or air carrier, as well as any part-time or full-time
advisors or consultants to the management of the applicant or air
carrier.
(j) Normalized operations are those which are relatively free of
start-up costs and temporary barriers to full-scale operations posed by
the carrier's limited experience.
(k) Relevant corporations are the applicant or air carrier, any
subsidiary thereof, any predecessor thereof (i.e., any air carrier in
which any directors, principal officers or persons having a substantial
interest have or once had a substantial interest), and any company
(including a sole proprietorship or partnership) which has a significant
financial or managerial influence on the applicant or air carrier. The
latter includes:
(1) Any company (including a sole proprietorship or partnership)
holding more than 50 percent of the outstanding voting stock of the
applicant or air carrier; and
(2) Any company (including a sole proprietorship or partnership)
holding between 20 percent and 50 percent of the outstanding voting
stock of the applicant or air carrier and which has significant
influence over the applicant or air carrier as indicated, for example,
by 25 percent representation on the board of directors, participation in
policy-making processes, substantial inter-company transactions, or
managerial personnel with common responsibilities in both companies.
(l) Substantial change in operations, ownership, or management
includes, but is not limited to, the following events:
(1) Changes in operations from charter to scheduled service, cargo
to passenger service, short-haul to long-haul service, or (for a
certificated air carrier) small-aircraft to large-aircraft operations;
(2) The filing of a petition for reorganization or a plan of
reorganization under Chapter 11 of the federal bankruptcy laws;
(3) The acquisition by a new shareholder or the accumulation by an
existing shareholder of beneficial control of 10 percent or more of the
outstanding voting stock in the corporation; and
(4) A change in the president, chief executive officer or chief
operating officer, and/or a change in at least half of the other key
personnel within any 12-month period or since its latest fitness review,
whichever is the more recent period.
(m) Substantial interest means beneficial control of 10 percent or
more of the outstanding voting stock.
[Docket No. 47582, 57 FR 38766, Aug. 27, 1992, as amended at 60 FR
43523, Aug. 22, 1995; 64 FR 12085, Mar. 11, 1999; 72 FR 20036, Apr. 23,
2007]
Subpart B_Filing Requirements
Sec.204.3 Applicants for new certificate or commuter air carrier authority.
An applicant for a type of certificate authority it does not
currently hold or for commuter air carrier authority shall file the data
set forth in paragraphs (a) through (v) of this section. In addition,
the Department may require an applicant to provide additional data if
necessary to reach an informed judgment about its fitness. If the
applicant has previously formally filed any of the required data with
the Department or with another Federal agency and they are available to
the Department, and those data continue to reflect the current state of
the carrier's fitness, the applicant may instead identify the data and
provide a citation for the date(s) and place(s) of filing. Prior to
filing any data, the applicant may contact the Air Carrier Fitness
Division to ascertain what data required by this section are already
[[Page 13]]
available to the Department and need not be included in the filing.
Note: If the applicant intends to use as evidence data it has
previously filed pursuant to part 241 reporting requirements and those
data contain errors, the applicant must first file corrected reports in
accordance with Sec.241.22(g).
(a) The name, address, and telephone number of the applicant.
(b) The form of the applicant's organization.
(c) The State law(s) under which the applicant is organized.
(d) If the applicant is a corporation, a statement provided by the
Office of the Secretary of State, or other agent of the State in which
the applicant is incorporated, certifying that the applicant corporation
is in good standing.
(e) A sworn affidavit stating that the applicant is a citizen of the
United States.
(f) The identity of the key personnel who would be employed by the
applicant, including:
(1) Their names and addresses;
(2) The experience, expertise, and responsibilities of each;
(3) The number of shares of the applicant's voting stock held by
each and the percentage of the total number of such shares issued and
outstanding, and the citizenship and principal business of any person
for whose account, if other than the holder, such interest is held;
(4) The citizenship of each; and
(5) A description of the officerships, directorships, shares of
stock (if 10 percent or more of total voting stock outstanding), and
other interests each holds or has held in any air carrier, foreign air
carrier, common carrier, person substantially engaged in the business of
aeronautics or persons whose principal business (in purpose or fact) is
the holding of stock in or control of any air carrier, common carrier or
person substantially engaged in the business of aeronautics.
(g) A list of all persons having a substantial interest in the
applicant. Such list shall include:
(1) Each person's name, address and citizenship;
(2) The number of shares of the applicant's voting stock held by
each such person and the corresponding percentage of the total number of
such shares issued and outstanding, and the citizenship and principal
business of any person for whose account, if other than the holder, such
interest is held;
(3) If any two or more persons holding a substantial interest in the
applicant are related by blood or marriage, such relationship(s) shall
be included in the list; and
(4) If any person or subsidiary of a person having a substantial
interest in the applicant is or has ever been
(i) An air carrier, a foreign air carrier, a common carrier, or
(ii) Substantially engaged in the business of aeronautics, or
(iii) An officer or director of any such entity, or
(iv) A holder of 10 percent or more of total outstanding voting
stock of any such entity, the list shall describe such relationship(s).
(h) A list of the applicant's subsidiaries, if any, including a
description of each subsidiary's principal business and relationship to
the applicant.
(i) A list of the applicant's shares of stock in, or control of, any
air carrier, foreign air carrier, common carrier, or person
substantially engaged in the business of aeronautics.
(j) To the extent any relevant corporation has been engaged in any
business prior to the filing of the application, each applicant shall
provide:
(1) Copies of the 10K Annual Reports filed in the past 3 years by
any relevant corporation required to file such reports with the
Securities and Exchange Commission, and
(2) Copies of recently filed 10Q Quarterly Reports, as necessary, in
order to show the financial condition and results of operations of the
enterprise current to within 3 months of the date of the filing of the
application.
(k) If 10K Reports are not filed with the Securities and Exchange
Commission, the following, for the 3 most recent calendar or fiscal
years, reflecting the financial condition and results of operations of
the enterprise current to within 3 months of the date of the filing of
the application:
(1) The Balance Sheet of each relevant corporation;
(2) The Income Statement of each relevant corporation;
[[Page 14]]
(3) All footnotes applicable to the financial statements, including:
(i) A statement as to whether the documents were prepared in
accordance with Generally Accepted Accounting Principles, and
(ii) A description of the significant accounting policies of each
relevant corporation, such as for depreciation, amortization of
intangibles, overhauls, unearned revenues, and cost capitalization;
(4) A statement of significant events occurring subsequent to the
most recent Balance Sheet date for each relevant corporation; and
(5) A statement identifying the person who has prepared the
financial statements, his or her accounting qualifications, and any
affiliation he or she has with the applicant.
(l) A list of all actions and outstanding judgments for more than
$5,000 against any relevant corporation, key personnel employed (or to
be employed) by any relevant corporation, or person having a substantial
interest in any relevant corporation, including the amount of each
judgment, the party to whom it is payable, and how long it has been
outstanding.
(m) The number of actions and outstanding judgments of less than
$5,000 against each relevant corporation, key personnel employed (or to
be employed) by any relevant corporation, or person having a substantial
interest in any relevant corporation, and the total amount owed by each
on such judgments.
(n) A description of the applicant's fleet of aircraft, including:
(1) The number of each type of aircraft owned, leased and to be
purchased or leased;
(2) Applicant's plans, including financing plans, for the purchase
or lease of additional aircraft; and
(3) A sworn affidavit stating that each aircraft owned or leased has
been certified by the FAA and currently complies with all FAA safety
standards.
(o) A description of the current status of all pending
investigations, enforcement actions, and formal complaints filed by the
Department, including the FAA, involving the applicant or any relevant
corporation, any personnel employed (or to be employed) by any relevant
corporation or person having a substantial interest in any relevant
corporation, regarding compliance with the Statute or orders, rules,
regulations, or requirements issued pursuant to the Statute, and any
corrective actions taken. (If an applicant has a compliance history that
warrants it, additional information may be required.)
(p) A description of all charges of unfair or deceptive or
anticompetitive business practices, or of fraud, felony or antitrust
violation, brought against any relevant corporation or person having a
substantial interest in any relevant corporation, or member of the key
personnel employed (or to be employed) by any relevant corporation in
the past 10 years. Such descriptions shall include the disposition or
current status of each such proceeding.
(q) A description of any aircraft accidents or incidents (as defined
in the National Transportation Safety Board Regulations, 49 CFR 830.2)
experienced by the applicant, its personnel, or any relevant
corporation, which occurred either during the year preceding the date of
application or at any time in the past and which remain under
investigation by the FAA, the NTSB, or by the company itself, including:
(1) The date of the occurrence;
(2) The type of flight;
(3) The number of passengers and crew on board and an enumeration of
any injuries or fatalities;
(4) A description of any damage to the aircraft;
(5) The FAA and NTSB file numbers and the status of the
investigations, including any enforcement actions initiated against the
carrier or any of its personnel; and
(6) Positive actions taken to prevent recurrence. (If an applicant's
history of accidents or incidents warrants it, additional information
may be required.)
(r) A brief narrative history of the applicant.
(s) A description of all Federal, State and foreign authority under
which the applicant has conducted or is conducting transportation
operations, and the identify of the local FAA office and personnel
responsible for processing an
[[Page 15]]
application for any additional FAA authority needed to conduct the
proposed operations.
(t) A description of the service to be operated if the application
is granted, including:
(1) A forecast Balance Sheet for the first normal year ending after
the initially proposed operations have been incorporated, along with the
assumptions underlying the accounts and amounts shown; and
(2) A forecast Income Statement, broken down by quarters, for the
first year ending after the initially proposed operations are
normalized, and an itemization of all pre-operating and start-up costs
associated with the initiation of the proposed service. Such Income
Statement shall include estimated revenue block hours (or airborne
hours, for charter operators) and revenue miles by type of aircraft,
number of passengers and number of tons of mail and cargo to be carried,
transport revenues and an estimate of the traffic which would be
generated in each market receiving the proposed service. Such statements
shall also include a statement as to whether the statements were
prepared on the accrual or cash basis, an explanation of how the
estimated costs and revenues were developed, a description of the manner
in which costs and revenues are allocated, how the underlying traffic
forecasts were made, and what load factor has been assumed for the
average and peak month. Pre-operating and start-up costs should include,
but are not limited to, the following: Obtaining necessary government
approval; establishing stations; introductory advertising; aircraft,
equipment and space facility deposits and rent; training; and salaries
earned prior to start-up.
(u) A signed counterpart of Agreement 18900 (OST Form 4523) as
required by part 203 of this chapter.
(v) The following certification, which shall accompany the
application and all subsequent written submissions filed by the
applicant in connection with its application:
Pursuant to title 18 United States Code section 1001, I [the
individual signing the application, who shall be a principal owner,
senior officer, or internal counsel of the applicant], in my individual
capacity and as the authorized representative of the applicant, have not
in any manner knowingly and willfully falsified, concealed or covered up
any material fact or made any false, fictitious, or fraudulent statement
or knowingly used any documents which contain such statements in
connection with the preparation, filing or prosecution of the
application. I understand that an individual who is found to have
violated the provisions of 18 U.S.C. section 1001 shall be fined nor
more than $10,000 or imprisoned not more than five years, or both.
(The reporting requirements contained in this section were approved by
the Office of Management and Budget under control number 2106-0023)
[Docket No. 47582, 57 FR 38766, Aug. 27, 1992, as amended at 60 FR
43524, Aug. 22, 1995]
Sec.204.4 Carriers proposing to provide essential air service.
Applicants proposing to provide essential air service have been
divided into two categories, and are subject to differing data
submission requirements as set forth in paragraphs (a) and (b) of this
section. However, if a carrier has previously filed any of the required
data with the Department or other Federal agency and they are available
to the Department, and these data continue to reflect the current state
of the carrier's fitness, the carrier may instead identify the data and
provide a citation for the date and place of filing. All carriers may
contact the Air Carrier Fitness Division to ascertain what information
is already available to the Department and thus may not need to be
resubmitted.
(a) Carriers who propose to begin or expand non-subsidized essential
air service when the incumbent leaves the market must file the following
information:
(1) All of the information required under Sec.204.3 of this part.
(2) A description of the back-up aircraft available to the
applicant, including:
(i) The number of each type of such aircraft;
(ii) The conditions under which such aircraft will be available to
the carrier;
(iii) The carrier's plans for financing the acquisition or lease of
such additional aircraft; and
(iv) A sworn affidavit stating that all such aircraft have been
certified by the
[[Page 16]]
FAA and currently comply with all FAA safety standards.
(3) A description of the fuel available to perform the proposed
essential air services and the carrier's contracts with fuel suppliers.
(4) The carrier's systemwide on-time and completion record for the
preceding year and, if applicable, in the subject market(s).
(5) A list of the markets the carrier serves and the number of
weekly round trips it provides in each.
(6) A description of the average number of block hours each type of
aircraft is currently flown per day.
(7) An estimate of the impact the proposed essential air service
would have on the carrier's utilization of its aircraft fleet.
(8) A detailed schedule of the service to be provided, including
times of arrivals and departures, the aircraft to be used for each
flight, and the fares to be charged.
(9) A pro-forma income statement for the proposed operation for the
first annual period.
(b) Carriers filing proposals to provide subsidized service in
response to an order inviting proposals shall file:
(1) All of the information required under Sec.204.3 of this part.
(2) All of the information required under paragraph (a) of this
section.
(3) A forecast Income Statement covering the operations conducted in
essential air service for the first year following the initiation of the
proposed essential services. Such statement shall include:
(i) Subsidy needed;
(ii) Estimated block hours and revenue miles by type of aircraft;
(iii) Total projected revenue including volumes of passengers and
freight by essential air service market and the associated fares and
rates;
(iv) An explanation of the derivation of estimates of operating
expenses; and
(v) A description of the manner in which costs and revenues are
allocated.
(4) A traffic forecast including a load factor analysis on all
segments between the small community and the hub; and an estimate of the
number of seats available to and from the eligible point each day.
(Approved by the Office of Management and Budget under control number
2106-0023)
[Docket No. 47582, 57 FR 38766, Aug. 27, 1992, as amended at 60 FR
43524, Aug. 22, 1995]
Sec.204.5 Certificated and commuter air carriers undergoing or
proposing to undergo substantial change in operations,
ownership, or management.
(a) A certificated or commuter air carrier proposing a substantial
change in operations, ownership or management shall file the data set
forth in Sec.204.3. These data must be submitted in cases where:
(1) The proposed change requires new or amended authority, or
(2) The change substantially alters the factors upon which its
latest fitness finding is based, even if no new authority is required.
(b) Information which a carrier has previously formally filed with
the Department, or with another Federal agency where they are available
to the Department, which continues to reflect the current state of the
carrier's fitness may be omitted. The carrier instead should identify
the data and provide a citation for the date(s) and place(s) of filing.
Prior to filing any data, the carrier may contact the Department (Air
Carrier Fitness Division) to ascertain what data required by this
section, if any, are already available to the Department or are not
applicable to the substantial change in question and need not be
included in the filing.
(c) Information filings pursuant to this section made to support an
application for new or amended certificate authority shall be filed with
the application and addressed to Docket Operations, M-30, U.S.
Department of Transportation, Washington, DC 20590, or by electronic
submission at http://dms.dot.gov.
(d) Information filed in support of a certificated or commuter air
carrier's continuing fitness to operate under its existing authority in
light of substantial changes in its operations, management, or
ownership, including changes that may affect the air carrier's
citizenship, shall be addressed to the Chief, Air Carrier Fitness
Division, Office of
[[Page 17]]
the Secretary, U.S. Department of Transportation, Washington, DC 20590.
(Approved by the Office of Management and Budget under control number
2106-0023)
[Docket No. 47582, 57 FR 38766, Aug. 27, 1992, as amended at 72 FR
20036, Apr. 23, 2007]
Sec.204.6 Certificated and commuter air carriers proposing a
change in operations, ownership, or management which is
not substantial.
Carriers proposing to make a change which would not substantially
affect their operations, management, or ownership, such as certificated
carriers applying for additional authority which would not substantially
change their operations, will be presumed to be fit and need not file
any information relating to their fitness at time of the change.
However, if the Department concludes, from its own analysis or based on
information submitted by third parties, that such change may bring the
carrier's fitness into question, the Department may require the
applicant carrier to file additional information.
Sec.204.7 Revocation for dormancy.
(a) An air carrier that has not commenced any type of air
transportation operations for which it was found fit, willing, and able
within one year of the date of that finding, or an air carrier that, for
any period of one year after the date of such a finding, has not
provided any type of air transportation for which that kind of finding
is required, is deemed no longer to continue to be fit to provide the
air transportation for which it was found fit and, accordingly, its
authority to provide such air transportation shall be revoked.
(b) An air carrier found fit which commences operations within one
year after being found fit but then ceases operations, shall not resume
operations without first filing all of the data required by Sec.204.3
at least 45 days before it intends to provide any such air
transportation. Such filings shall be addressed to the Documentary
Services Division, Department of Transportation, 1200 New Jersey Avenue,
SE., Washington, DC 20590. The Department will entertain requests for
exemption from this 45-day advance filing requirement for good cause
shown. If there has been no change in fitness data previously formally
filed with the Department, the carrier shall file a sworn statement to
that effect signed by one of its officers. The carrier may contact the
Department (Air Carrier Fitness Division) to ascertain which data are
already available to the Department and need not be refiled. A carrier
to which this paragraph applies shall not provide any air transportation
for which it is required to be found fit, willing, and able until the
Department decides that the carrier continues to be fit, willing, and
able to perform such air transportation. During the pendency of the
Department's consideration of a data submission under this paragraph,
the expiration period set out in paragraph (a) of this section shall be
stayed. If the decision or finding by the Department on the issue of the
carrier's fitness is favorable, the date or that decision or finding
shall be the date considered in applying paragraph (a) of this section.
(c) For purposes of this section, the date of a Department decision
or finding shall be the service date of the Department's order
containing such decision or finding, or, in cases where the Department's
decision or finding is made by letter, the date of such letter.
(d) For purposes of this section, references to operations and to
the providing of air transportation shall refer only to the actual
performance of flight operations under an operating certificate issued
to the carrier by the FAA.
(Approved by the Office of Management and Budget under control number
2106-0023)
PART 205_AIRCRAFT ACCIDENT LIABILITY INSURANCE--Table of Contents
Sec.
205.1 Purpose.
205.2 Applicability.
205.3 Basic requirements.
205.4 Filing of evidence of insurance.
205.5 Minimum coverage.
205.6 Prohibited exclusions of coverage.
205.7 Cancellation, withdrawal, modification, expiration, or replacement
of insurance coverage.
205.8 Cargo liability disclosure statement.
Authority: 49 U.S.C. Chapters 401, 411, 413, 417.
[[Page 18]]
Source: ER-1253, 46 FR 52577, Oct. 27, 1981, unless otherwise noted.
Sec.205.1 Purpose.
This part contains the rules for aircraft accident liability
insurance coverage needed by U.S. direct air carriers to obtain or to
exercise authority from the Department to operate in interstate or
foreign air transportation, and by foreign direct air carriers to
operate under permit or other authority in foreign air transportation.
It further requires a disclosure statement to shippers about cargo
liability limits and insurance coverage for U.S. and foreign direct air
carriers.
[ER-1253, 46 FR 52577, Oct. 27, 1981, as amended by Docket No. 47939, 57
FR 40100, Sept. 2, 1992; Doc. No. OST-96-1269, 61 FR 19165, May 1, 1996]
Sec.205.2 Applicability.
These rules apply to all U.S. direct air carriers, including
commuter air carriers and air taxi operators as defined in Sec.298.2
of this chapter, and foreign direct air carriers, including Canadian
charter air taxi operators as defined in Sec.294.2(c) of this chapter.
[Docket No. 47939, 57 FR 40100, Sept. 2, 1992]
Sec.205.3 Basic requirements.
(a) A U.S. or foreign direct air carrier shall not engage in air
transportation unless it has in effect aircraft accident liability
insurance coverage that meets the requirements of this part for its air
carrier or foreign air carrier operations. The minimum amounts of
coverage required by this part may be provided either by insurance
policies or by self-insurance plans. The currently effective policy of
insurance or complete plan for self-insurance shall be available for
inspection by the Department at the carrier's principal place of
business. The current certificate of insurance or a summary of the
complete self-insurance plan on file with the Department, as required by
Sec.205.4, shall be available for public inspection at the carrier's
principal place of business.
(b) For purposes of this part, a certificate of insurance is one or
more certificates showing insurance by one or more insurers (excluding
reinsurers) of currently effective and properly endorsed policies of
aircraft accident liability insurance in compliance with this part. When
more than one such insurer is providing coverage, the limits and types
of liability assumed by each insurer (excluding reinsurers) shall be
clearly stated in the certificate of insurance. Insurance policies and
self-insurance plans named in a certificate of insurance that
accompanies an application for initial registration or for operating
authority shall become effective not later than the proposed starting
date for air carrier operations as shown in the application.
(c) The certificate of insurance shall list the types or classes of
aircraft, or the specific aircraft by FAA or foreign government
registration number, with respect to which the policy of insurance
applies, or shall state that the policy applies to all aircraft owned or
operated by the carrier in its air transportation operations. With
respect to certificates of insurance that list aircraft by government
registration number, the policy or self-insurance plan shall state that,
while an aircraft owned or leased by the carrier and declared in the
policy is withdrawn from normal use because of its breakdown, repair, or
servicing, such insurance as is provided by the policy or plan for that
aircraft shall apply also to another aircraft of similar type,
horsepower, and seating capacity, whether or not owned by the insured,
while temporarily used as a substitute aircraft.
(d) Each certificate of insurance shall be signed by an authorized
officer, agent, or other representative of the insurer or the insurance
broker.
(e) Insurance coverage to meet the requirements of this part shall
be obtained from one or more of the following:
(1) An insurer licensed to issue aircraft accident liability
policies in any State, Commonwealth, or Territory of the United States,
or in the District of Columbia;
(2) Surplus line insurers named on a current list of such insurers
issued and approved by the insurance regulatory authority of any State,
Commonwealth, or Territory of the United States or of the District of
Columbia; or
[[Page 19]]
(3) Insurers licensed or approved by a foreign government.
This requirement may be waived by the Department in the public interest.
[ER-1253, 46 FR 52577, Oct. 27, 1981, as amended by Docket No. 47939, 57
FR 40100, Sept. 2, 1992]
Sec.205.4 Filing of evidence of insurance.
(a) A U.S. or foreign air carrier shall file a certificate of
insurance or a complete plan for self-insurance with the Department.
Each carrier shall ensure that the evidence of aircraft accident
liability coverage filed with the Department is correct at all times.
The Department will normally notify the carrier within 20 days of
receipt if the certificate or plan does not meet the requirements of
this part. Certificates of Insurance shall be filed on OST Form 6410 for
U.S. air carriers, including commuter air carriers and air taxi
operators, and OST Form 6411 for foreign air carriers, including
Canadian air taxi operators. The Department may return the certificate
or self-insurance plan to the carrier if it finds for good cause that
such certificate or plan does not show adequate evidence of insurance
coverage under this part. Forms may be obtained from and should be filed
with the Department at the addresses specified in paragraph (c) of this
section. Forms may also be obtained on the Internet at http://
ostpxweb.dot.gov.
(b) If the coverage is by type or class of aircraft or by specific
aircraft, endorsements that add previously unlisted aircraft or aircraft
types or classes to coverage, or that delete listed aircraft, types, or
classes from coverage, shall be filed with the Department at the
addresses specified in paragraph (c) of this section not more than 30
days after the effective date of the endorsements. Aircraft shall not be
listed in the carrier's operations specifications with the FAA and shall
not be operated unless liability insurance coverage is in force.
(c) Certificates of insurance and endorsements required in
paragraphs (a) and (b) of this section shall be submitted to the
Department of Transportation, Federal Aviation Administration, Program
Management Branch, AFS-260, 800 Independence Avenue, SW., Washington, DC
20591. For those air carriers that have a mailing address in the State
of Alaska, the forms shall be submitted to the Department of
Transportation, Federal Aviation Administration, Alaskan Region
Headquarters, AAL-230, 222 West 7th Avenue, Box 14, Anchorage, Alaska
99513. For Canadian air taxis, the forms shall be submitted to the
Department of Transportation, Special Authorities Division, X-46, 1200
New Jersey Avenue, SE., Washington, DC 20590.
(Approved by the Office of Management and Budget under control number
2106-0030)
[Docket No. 47939, 57 FR 40100, Sept. 2, 1992, as amended by Doc. No.
OST-96-1269, 61 FR 19165, May 1, 1996; 70 FR 25767, May 16, 2005]
Sec.205.5 Minimum coverage.
(a) Insurance contracts and self-insurance plans shall provide for
payment on behalf of the carrier, within the specific limits of
liability in this section, of all sums that the carrier shall become
legally obligated to pay as damages, excluding any deductible in the
policy, for bodily injury to or death of a person, or for damage to the
property of others, resulting from the carrier's operation or
maintenance of aircraft in air transportation provided under its
authority from the Department.
(b) U.S. and foreign direct air carriers, including commuter air
carriers but excluding U.S. air taxi operators and Canadian charter air
taxi operators, shall maintain the following coverage:
(1) Third-party aircraft accident liability coverage for bodily
injury to or death of persons, including nonemployee cargo attendants,
other than passengers, and for damage to property, with minimum limits
of $300,000 for any one person in any one occurrence, and a total of
$20,000,000 per involved aircraft for each occurrence, except that for
aircraft of not more than 60 seats or 18,000 pounds maximum payload
capacity, carriers need only maintain coverage of $2,000,000 per
involved aircraft for each occurrence.
(2) Any such carrier providing air transportation for passengers
shall, in addition to the coverage required in
[[Page 20]]
paragraph (b)(1) of this section, maintain aircraft accident liability
insurance coverage for bodily injury to or death of aircraft passengers,
with minimum limits of $300,000 for any one passenger, and a total per
involved aircraft for each occurrence of $300,000 times 75 percent of
the number of passenger seats installed in the aircraft.
(c) U.S. air taxi operators registered under part 298 shall maintain
the following coverage:
(1) Third-party aircraft accident liability coverage for bodily
injury to or death of persons, including nonemployee cargo attendants,
other than passengers, with minimum limits of:
(i) $75,000 for any one person in any one occurrence, and a total of
$300,000 per involved aircraft for each occurrence, and
(ii) A limit of a least $100,000 for each occurrence for loss of or
damage to property.
(2) U.S. air taxi operators carrying passengers in air
transportation shall, in addition to the coverage required in paragraph
(c)(1) of this section, maintain aircraft accident liability insurance
coverage for bodily injury to or death of aircraft passengers, with
minimum limits of $75,000 for any one passenger, and a total per
involved aircraft for each occurrence of $75,000 times 75 percent of the
number of passenger seats installed in the aircraft.
(d) Canadian charter air taxi operators registered under part 294 of
this chapter shall maintain the following coverage:
(1) Third-party aircraft accident liability coverage for bodily
injury to or death of persons, including nonemployee cargo attendants,
other than passengers, and for damage to property, with a minimum
coverage of $75,000 for any one person in any one occurrence, and a
total of $2,000,000 per involved aircraft for each occurrence, except
that Canadian charter air taxi operators operating aircraft of more than
30 seats or 7,500 pounds maximum cargo payload capacity, and a maximum
authorized takeoff weight on wheels not greater than 35,000 pounds shall
maintain coverage for those aircraft of $20,000,000 per involved
aircraft for each occurrence.
(2) Canadian charter air taxi operators engaging in passenger
charter air service under part 294 of this chapter shall, in addition to
the coverage required in paragraph (d)(1) of this section, maintain
aircraft accident liability coverage for bodily injury to or death of
aircraft passengers, with a minimum coverage of $75,000 for any one
passenger and a total per involved aircraft for each occurrence of
$75,000 times 75 percent of the total number of passenger seats
installed in the aircraft.
(e) Notwithstanding paragraphs (b), (c) and (d) of this section, the
carrier may be insured for a combined single limit of liability for each
occurrence. The combined single-limit coverage must be not less than the
combined required minimums for bodily injury and property damage
coverage plus, if the aircraft is used in passenger service, the
required total passenger coverages stipulated in paragraph (b) of this
section for U.S. and foreign direct air carriers and commuter carriers,
paragraph (c) of this section for U.S. air taxi operators, or paragraph
(d) of this section for Canadian charter air taxi operators. \1\ The
single-limit liability policy for the required aircraft accident
liability coverage may be provided by a single policy or by a
combination of primary and excess policies.
---------------------------------------------------------------------------
\1\ For example: the minimum single limit of liability acceptable
for any aircraft in air taxi passenger service with 16 passenger seats
would be computed on the basis of limits set forth in paragraph (c) as
follows: 16 x .75 equals 12; 12 x $75,000 equals $900,000; $900,000 plus
$300,000 (nonpassenger liability per occurrence) plus $100,000 (property
damage per occurrence) equals $1,300,000. The latter amount is the
minimum in which a single-limit liability policy may be written.
---------------------------------------------------------------------------
(f) The liability coverage shall not be contingent upon the
financial condition, solvency, or freedom from bankruptcy of the
carrier. The limits of the liability for the amounts required by this
part shall apply separately to each occurrence. Any payment made under
the policy or plan because of any one occurrence shall not reduce the
coverage for payment of other damages resulting from any other
occurrence.
[Docket No. 47939, 57 FR 40101, Sept. 2, 1992; 57 FR 52590, Nov. 4,
1992]
[[Page 21]]
Sec.205.6 Prohibited exclusions of coverage.
(a) No warranty or exclusion in the policy or plan or in any
endorsement or amendment to the policy or plan, nor any violation of the
policy or plan by the carrier, shall remove the liability coverage
required by this part, except as specifically approved by the
Department. This requirement shall not limit the right of insurers to
recover from the carrier for amounts paid.
(b) A policy of insurance or a self-insurance plan required by this
part shall not contain the following exclusions:
(1) Violation of any safety-related requirement imposed by statute
or by rule of a government agency.
(2) Liability assumed by the carrier under an agreement to raise the
liability limitations of the Warsaw Convention by signing a counterpart
to the agreement of carriers (such as the Montreal Agreement, 18900, as
approved by Board Order E-23680, May 13, 1966, agreeing to a limit on
the carrier's liability for injury or death of passengers of $75,000 per
passenger), or any amendment to such agreement that may be approved by
the Department and to which the carrier becomes a party.
[ER-1253, 46 FR 52577, Oct. 27, 1981, as amended by Docket No. 47939, 57
FR 40100, 40101, Sept. 2, 1992]
Sec.205.7 Cancellation, withdrawal, modification, expiration, or
replacement of insurance coverage.
(a) Each policy of aircraft accident liability insurance and plan
for self insurance shall specify that it shall remain in force, and may
not be replaced, canceled, withdrawn, or in any way modified to reduce
the minimum standards set forth in this part, or to change the extent of
coverage, by the insurer or the carrier, nor expire by its own terms, in
regard to coverage for the carrier in its common carrier operations in
air transportation, until 10 days after written notice by the insurer
(in the event of replacement, by the retiring insurer), or by the
insurer's representative, or by the carrier, describing the change, to
the Department at the addresses specified in Sec.205.4(c), which 10-
day notice period shall start to run from the date such notice is
actually received at the Department. For purposes of this part, a policy
will not be considered to have expired if the same insurer renews its
coverage without reduction in the extent of coverage or amounts of
coverage, and without a break in coverage, whether or not a new policy
is issued, and notice to the Department is not required in that event.
If the coverage being changed is by type or class of aircraft or by
specific aircraft, endorsements adding or deleting specific aircraft or
types or classes of aircraft, for which prior notice would be required
by this paragraph, shall be filed in accordance with Sec.205.4(b), and
prior notice of the change need not be given under this paragraph.
(b) The requirements of this section shall not apply if the policy
contains a lesser time period for cancellation in a war risk exclusion.
If the war risk exclusion is activated by the insurer, the insurer or
its representative shall immediately notify the Department.
[Docket No. 47939, 57 FR 40100, 40101, Sept. 2, 1992, as amended at 70
FR 25768, May 16, 2005]
Sec.205.8 Cargo liability disclosure statement.
Every direct U.S. or foreign air carrier providing air cargo service
in air transportation shall give notice in writing to the shipper, when
a shipment is accepted, of the existence or absence of cargo liability
insurance, and the limits on the extent of its liability, if any. The
notice shall be clearly and conspicuously included on or attached to all
of its rate sheets and airwaybills.
[ER-1282, 47 FR 16173, Apr. 15, 1982]
PART 206_CERTIFICATES OF PUBLIC CONVENIENCE AND NECESSITY:
SPECIAL AUTHORIZATIONS AND EXEMPTIONS--Table of Contents
Sec.
206.1 Emergency transportation.
206.2 Exemption from schedule filing.
206.3 Transportation of newspersons by all-cargo carriers.
206.4 Exemption of air carriers for military transportation.
206.5 Small aircraft operations by certificated carriers.
[[Page 22]]
Authority: 49 U.S.C. Chapters 401, 415, 417, 419.
Sec.206.1 Emergency transportation.
Notwithstanding the provisions of section 41101 of the Statute, and
any term, condition or limitation attached to the exercise of the
privileges of an air carrier certificate of public convenience and
necessity which prohibits an air carrier from engaging in air
transportation between any points on its route, the air carrier may
carry between such points (a) any person or persons certified by a
physician to be in need of immediate air transportation in order to
secure emergency medical or surgical treatment together with any
necessary attendant or attendants and (b) any medical supplies certified
by a physician as requiring immediate air transportation for the
protection of life. Air carriers offering to provide this emergency
transportation shall file appropriate tariffs pursuant to Chapter 415 of
the Statute.
(Secs. 204, 416, 72 Stat. 743, 771; 49 U.S.C. 1324, 1386)
[ER-261, 24 FR 1860, Mar. 14, 1959, as amended at 60 FR 43524, Aug. 22,
1995]
Sec.206.2 Exemption from schedule filing.
All air carriers are hereby exempted from the requirements of
section 41902(b) of the Statute, which provides that each air carrier
must periodically provide the Department and the U.S. Postal Service a
listing of all of its regularly operated aircraft schedules and schedule
changes, showing for each schedule the points served and the departure
and arrival times.
[Docket No. 47939, 57 FR 40101, Sept. 2, 1992, as amended at 60 FR
43524, Aug. 22, 1995]
Sec.206.3 Transportation of newspersons by all-cargo carriers.
Notwithstanding the provisions of section 41101 and Chapter 415 of
the Statute and part 221 of this chapter, an air carrier holding a
certificate of public convenience and necessity for the transportation
of only property and mail may provide transportation to persons on
regularly scheduled cargo flights for the purpose of collecting data for
preparation of feature news, pictorial or like articles provided that
the transportation is limited to the writer, journalist, or photographer
engaged in the preparation of data for use in feature news, pictorial,
or like articles which are to appear in newspapers or magazines, or on
radio or television programs and which will publicize the regularly
scheduled cargo operations of the carrier.
[Docket No. 47939, 57 FR 40102, Sept. 2, 1992, as amended at 60 FR
43524, Aug. 22, 1995]
Sec.206.4 Exemption of air carriers for military transportation.
Air carriers providing air transportation pursuant to a contract
with the Department of Defense are hereby exempted from Chapter 415 of
the Statute, and from part 221, Sec. Sec.207.4 and 208.32, of this
chapter, with respect to those services.
[Docket No. 47939, 57 FR 40102, Sept. 2, 1992, as amended at 60 FR
43524, Aug. 22, 1995]
Sec.206.5 Small aircraft operations by certificated carriers.
(a) A carrier holding an effective certificate issued under section
41102 of the Statute, when conducting operations with small aircraft, is
exempt from the requirements of the Statute as set forth in subpart B of
part 298 of this chapter, except section 41708 of the Statute, and is
subject to the requirements set forth in the following provisions of
this chapter:
(1) Part 205, with the minimum coverage requirements of Sec.
205.5(b),
(2) Part 215,
(3) Part 298, subpart D, Sec. Sec.298.30, and 298.38, and subpart
H, and
(4) Part 298, subpart F, if the certificated carrier conducts
operations with small aircraft only (a certificated carrier conducting
operations with both small and large aircraft is subject only to the
reporting requirements contained in part 241 of this chapter).
(b) If a certificated carrier, when conducting operations with small
aircraft, provides foreign air transportation that includes a segment
for which tariff filing is required and another segment for which tariff
filing is not required, then for through service over that routing the
carrier has the option of filing a tariff or charging the sum of the
applicable local rates, fares, or
[[Page 23]]
charges. If the carrier files a tariff for through service, it is not
exempt from Chapter 415 or section 41310 of the Statute for that air
transportation.
[Docket No. 47939, 57 FR 40102, Sept. 2, 1992, as amended at 60 FR
43524, Aug. 22, 1995]
PART 207_CHARTER TRIPS BY U.S. SCHEDULED AIR CARRIERS
--Table of Contents
Sec.
207.1 Applicability.
207.2 Terms of service.
Authority: 49 U.S.C. 40101, 40102, 40109, 40113, 41101, 41102,
41103, 41301, 41504, 41702, 41708, 41712, 46101.
Source: Docket No. OST-97-2356, 63 FR 28236, May 22, 1998, unless
otherwise noted.
Sec.207.1 Applicability.
This part establishes the terms, conditions, and limitations
applicable to charter air transportation conducted by air carriers
holding certificates under 49 U.S.C. 41102 authorizing the operation of
scheduled air transportation services.
Sec.207.2 Terms of service.
Charter air transportation under this part shall be performed in
accordance with the provisions of part 212 of this chapter.
PART 208_CHARTER TRIPS BY U.S. CHARTER AIR CARRIERS--Table of Contents
Sec.
208.1 Applicability.
208.2 Terms of service.
Authority: 49 U.S.C. 40101, 40102, 40109, 40113, 41101, 41102,
41103, 41301, 41504, 41702, 41708, 41712, 46101.
Source: Docket No. OST-97-2356, 63 FR 28236, May 22, 1998, unless
otherwise noted.
Sec.208.1 Applicability.
This part establishes the terms, conditions, and limitations
applicable to charter air transportation conducted by air carriers
holding certificates under 49 U.S.C. 41102 authorizing the operation of
charter air transportation services.
Sec.208.2 Terms of service.
Charter air transportation under this part shall be performed in
accordance with the provisions of Part 212 of this chapter.
PART 211_APPLICATIONS FOR PERMITS TO FOREIGN AIR CARRIERS
--Table of Contents
Subpart A_General
Sec.
211.1 Purpose.
211.2 Applicability.
Subpart B_General Requirements
211.10 Filing specifications.
211.11 Verification.
211.12 Filing and service.
211.13 Amendments to applications.
211.14 Incorporation by reference.
211.15 Statements of fact.
211.16 Oral hearing.
Subpart C_Information Requirements
211.20 Initial foreign air carrier permit or transfer of a permit.
211.21 Amendments or renewal of foreign air carrier permits.
Subpart D_Freely Associated State Air Carriers
211.30 Eligibility.
211.31 Application.
211.32 Issuance of permit.
211.33 Interstate and interstate authority.
211.34 Other permits.
211.35 Termination of eligibility.
Authority: 49 U.S.C. Chapters 401, 411, 413, 415, 417.
Source: ER-1386, 49 FR 33439, Aug. 23, 1984, unless otherwise noted.
Editorial Note: Nomenclature changes to part 211 appear at 61 FR
34725, July 3, 1996.
Subpart A_General
Sec.211.1 Purpose.
This part sets forth the filing and evidence requirements for
foreign air carriers applying for authority to engage in foreign air
transportation under section 41301 of Title 49 of the United States Code
(Transportation).
(Approved by the Office of Management and Budget under control number
3024-0068)
[ER-1386, 49 FR 33439, Aug. 23, 1984, as amended by ER-1397, 49 FR
50027, Dec. 26, 1984]
[[Page 24]]
Sec.211.2 Applicability.
(a) Except as provided in paragraph (b) of this section, this part
applies to all foreign air carriers seeking initial foreign air carrier
permits or the transfer, renewal, or amendment of an existing foreign
air carrier permit.
(b) Canadian charter air taxi operators, foreign indirect air
carriers of property, and foreign charter operators are not required to
submit applications under this part. Instead, Canadian charter air taxi
operators shall register under part 294 of this chapter, foreign
indirect air carriers of property shall register under part 297 of this
chapter, and foreign charter operators shall register under subpart F of
part 380 of this chapter.
(Approved by the Office of Management and Budget under control number
3024-0068)
[ER-1386, 49 FR 33439, Aug. 23, 1984, as amended by ER-1397, 49 FR
50027, Dec. 26, 1984]
Subpart B_General Requirements
Sec.211.10 Filing specifications.
(a) Except as provided in paragraph (b) of this section, applicants
shall follow the requirements in Sec.302.3 of this chapter as to
execution, number of copies, and formal specifications of papers.
(b) Mexican air taxi operators filing applications for foreign air
carrier permits authorizing charter flights across the Mexico-United
States border with small aircraft (a maximum passenger capacity of 60
seats or less, or a maximum payload capacity of 18,000 pounds or less)
shall file an original and two copies of the application. The
application shall conform to the instruction document available from the
Foreign Air Carrier Licensing Division, Office of International
Aviation, Department of Transportation, 1200 New Jersey Avenue, SE.,
Washington, DC 20590.
(c) An application shall have consecutively numbered pages, and
shall clearly describe and identify each exhibit by a separate number or
symbol. All exhibits are part of the application to which they are
attached.
(d) Applications shall state all weights, measures and monetary
units in U.S. terms, and all text in English.
(Approved by the Office of Management and Budget under control number
3024-0068)
[ER-1386, 49 FR 33439, Aug. 23, 1984, as amended by ER-1397, 49 FR
50027, Dec. 26, 1984; 61 FR 34725, July 3, 1996]
Sec.211.11 Verification.
Applications shall be verified and subscribed and sworn to before a
Notary Public or other officer authorized to administer oaths in the
jurisdiction in which the application is executed. An application
verified before a United States consular officer meets the requirements
of this section.
(Approved by the Office of Management and Budget under control number
3024-0068)
[ER-1386, 49 FR 33439, Aug. 23, 1984, as amended by ER-1397, 49 FR
50027, Dec. 26, 1984]
Sec.211.12 Filing and service.
All types of applications for foreign air carrier permits (initial,
renewal, amendment, or transfer) are filed as of the date the
applications are received at the Department's Docket Facility. Each
applicant shall serve those persons as required in part 302, subpart B,
of this chapter.
(Approved by the Office of Management and Budget under control number
3024-0068)
[ER-1386, 49 FR 33439, Aug. 23, 1984, as amended by ER-1397, 49 FR
50027, Dec. 26, 1984; 65 FR 6456, Feb. 9, 2000]
Sec.211.13 Amendments to applications.
An applicant shall submit any information required by this part that
is omitted from the original application, or any additional information,
as an amendment to the original application. Applicants shall
consecutively number amendments to applications and shall comply with
the requirements of this subpart.
(Approved by the Office of Management and Budget under control number
3024-0068)
[ER-1386, 49 FR 33439, Aug. 23, 1984, as amended by ER-1397, 49 FR
50027, Dec. 26, 1984]
Sec.211.14 Incorporation by reference.
Where two or more applications are filed by a single carrier, the
applicant may incorporate lengthy exhibits, or
[[Page 25]]
other documents, attached to one application into others by reference.
The applicant may not incorporate by reference and update any
information from a previous docket unless submitted within the past 2
years. The applicant must identify the docket, and the page number or
exhibit number being incorporated, and state that there has been no
change in that information since submitting the original information.
(Approved by the Office of Management and Budget under control number
3024-0068)
[ER-1386, 49 FR 33439, Aug. 23, 1984, as amended by ER-1397, 49 FR
50027, Dec. 26, 1984]
Sec.211.15 Statements of fact.
The applicant shall include only significant and relevant facts in
an application. Each application shall contain adequate information with
respect to the evidence required in subpart C of this part. The
application may contain other information and data the applicant
considers necessary to explain particular circumstances.
(Approved by the Office of Management and Budget under control number
3024-0068)
[ER-1386, 49 FR 33439, Aug. 23, 1984, as amended by ER-1397, 49 FR
50027, Dec. 26, 1984]
Sec.211.16 Oral hearing.
If an oral evidentiary hearing is convened, the applicant must make
available witnesses who are competent and able to testify to the
accuracy of the statements and documents submitted.
(Approved by the Office of Management and Budget under control number
3024-0068)
[ER-1386, 49 FR 33439, Aug. 23, 1984, as amended by ER-1397, 49 FR
50027, Dec. 26, 1984]
Subpart C_Information Requirements
Sec.211.20 Initial foreign air carrier permit or transfer of a permit.
A person applying for an initial foreign air carrier permit or the
transfer of a permit shall submit the information listed below. The
applicant must fully comply with this requirement. If the applicant is
unable to respond to an item, the application shall contain an
explanation, and include substitute information most closely
approximating the information requested. The Department may require an
applicant to provide additional information as necessary.
(a) State the name and address of the applicant, the nature of its
organization (individual, partnership, corporation, etc.), and, if other
than an individual, the name of the country under the laws of which it
is organized and the statutory citation of such laws, if any.
(b) State the name and official address of the government air
transport authority of applicant's country of citizenship having
regulatory jurisdiction over applicant.
(c) Supply the following information regarding the services
proposed:
(1) A complete statement of the authority sought; and
(2) A description of the services proposed, specifying:
(i) The point or points in the United States proposed to be served:
(ii) The frequency of service planned at the start of operations,
indicating any seasonal variations; whether the service proposed is to
be scheduled, nonscheduled or charter; whether the service would be
passenger, or property and mail, or a combination; and the type of
equipment (and configuration) to be used; and
(iii) A service schedule stating the manner in which the service
will be operated (e.g., nonstop or multi-stop, and the identity of
proposed intermediate traffic and nontraffic points).
(d) Provide the names, addresses (both residence and business), and
citizenship of all Directors, Officers and key management personnel,
including the President, Vice Presidents, the Directors or Supervisors
of Operations, Maintenance, and Finance, and the chief pilot and chief
inspector. Indicate whether any of these persons are related by blood or
marriage.
(e) Provide the names and citizenship of all persons holding five
percent (5%) or more of the capital stock or capital of the applicant.
Also indicate the number and percentage of shares of stock or percentage
of capital held by each. If five percent or more of the applicant's
stock is held by a corporation or partnership, set forth the name and
citizenship of each person holding five
[[Page 26]]
percent or more of the entire capital stock or capital of that
corporation or partnership and the respective interest of each. If any
shares are held for the benefit of another person, give the name and
citizenship of that person.
(f) If the applicant is not wholly owned by its homeland government,
state whether the applicant (each officer, director, manager, or holder
of five percent or more of the capital stock) holds any interest
directly or indirectly (through brokers or holding companies) in any of
the entities listed below. If no interest is held, so state.
(1) Any U.S. carrier;
(2) Any other foreign air carrier;
(3) Any persons engaged in the business of aeronautics; and
(4) Any common carrier, or any person whose principal business is
the holding of stock in, or control of, any air carrier.
(g) Indicate the relationship between the applicant and its homeland
government. If the applicant is wholly owned or substantially owned by
the government, indicate which governmental department has
responsibility for managerial decisions.
(h) State whether the applicant's insurance coverage meets or
exceeds the liability limits of 14 CFR part 205. State the name(s) of
its insurance carrier(s).
(i) Supply certified evidence, in English, of the applicant's
operating authority issued by its government that relates to the
operations proposed. This evidence must include a description of the
applicant's present authority, the expiration date of this authority,
and the manner in which it is expected to be renewed.
(j) Summarize the operating history of the applicant. Include the
types of transportation services rendered, points served, etc., from the
beginning of operations to the present. Also, if the applicant is a new
airline (i.e., an airline that began direct air services within the past
12 months), briefly summarize the business experience of each officer,
director and key management personnel, emphasizing any air
transportation experience.
(k) Provide a list of the aircraft owned, leased and operated by the
applicant. State each aircraft registration number and the country of
registration. If leased, state the address and citizenship of each
lessor. Describe any plans for the acquisition or lease of additional
aircraft if the present permit application is granted as proposed. If
any of the listed aircraft will not be used exclusively by the
applicant, explain its proposed use. State whether any aircraft are or
will be wet-leased.
(l) State where and by whom the maintenance of the aircraft is or
will be performed. State whether the applicant's maintenance program
complies with the provisions of ICAO Pilots and Airmen Annexes 1, 6
(Part 1) and 7. Also state whether the applicant's home country is a
contracting State to the Convention on International Civil Aviation.
(m) Briefly describe any agreements or cooperative working
arrangements (e.g., block-space, wet-lease), both oral and written,
entered with and between the applicant, or on behalf of the applicant,
and any U.S. or foreign air carrier, affecting the proposed services to
the United States that are not on file with the Department. If there are
no such agreements, so state.
(n) Supply financial data summaries, setting forth in U.S. dollars
the applicant's profit and loss statements and balance sheets for the 2
most recent available years (calendar or fiscal). These summaries must
be accompanied by a statement from the applicant's official responsible
for preparation of the summaries that the submissions are complete and
accurate. These summaries must include the following data, but need not
be more detailed than the financial data summaries published by ICAO:
(1) The profit and loss summary shall identify:
(i) Total air transport operating revenues (separated into three
categories: passenger, cargo, and other transport revenues);
(ii) Total air transport operating expenses;
(iii) Operating result (difference between (i) and (ii));
(iv) Non-operating items; and
(v) Profit or loss after income taxes.
(2) The balance sheet summary shall state and identify:
(i) Current assets;
[[Page 27]]
(ii) Flight equipment (after depreciation);
(iii) Other assets;
(iv) Total assets (sum of (i) through (iii));
(v) Current liabilities;
(vi) Other liabilities;
(vii) Long-term debt;
(viii) Capital stock;
(ix) Retained earnings (balance including capital surplus); and
(x) Total liabilities and equity (sum of (v) through (ix)).
(o) Describe the amount, type and reason for financial assistance
received or expected from the applicant's home government, if any.
(p) Submit an estimate showing the total traffic and the financial
results of the proposed services for the first full year of normal
operations and the supporting data employed to calculate the financial
forecast.
(q) If the air transportation proposed is not covered by an air
transport agreement, state in narrative form each of the elements of
reciprocity or comity relied upon for the requested authority. If the
authority requested is governed by an agreement, state whether the
applicant has been formally designated by its homeland government, and,
if so, cite the diplomatic note.
(r) To the extent not described in paragraph (q), state the policy
of the applicant's homeland government with respect to U.S. carriers'
applications for scheduled and charter authority. Specifically state
whether the homeland government grants Fifth Freedom traffic rights to
U.S. carriers.
(s) For the preceding 5 years, state whether the applicant has been
involved in any safety or tariff violations or any fatal accidents. If
so, furnish details.
(t) Submit 3 completed copies of OST Form 4523 (Waiver of liability
limits under the Warsaw Convention).
(Approved by the Office of Management and Budget under control number
3024-0068)
[ER-1386, 49 FR 33439, Aug. 23, 1984, as amended by ER-1397, 49 FR
50027, Dec. 26, 1984; 61 FR 34725, July 3, 1996]
Sec.211.21 Amendments or renewal of foreign air carrier permits.
A person applying for an amendment or renewal of a foreign air
carrier permit shall submit the information listed below. The applicant
must comply fully with this requirement. If the applicant is unable to
respond to an item, the application shall contain an explanation and
include substitute information most closely approximating the
information requested. The Department may require an applicant to
provide any additional information necessary.
(a) The information required in paragraphs (a), (b), (i), (o), (q),
(r), and (s), of Sec.211.20.
(b) Except if seeking renewal of existing authority, the information
specified in paragraphs (c) and (p) of Sec.211.20 regarding the new or
altered services proposed to be operated.
(c) If the financial material for the applicant on file with the
Department is more than 2 years old, financial summaries setting forth,
in U.S. dollars, the applicant's profit and loss statements and balance
sheets for the 2 most recent available years (calendar or fiscal) as
required in paragraph (n) of Sec.211.20, together with the statement
of completeness and accuracy required by that paragraph. If the
financial material on file with the Department is 2 years old or less,
the applicant may incorporate that information by reference as described
in Sec.211.14 of this part.
(d) If the ownership and control of the applicant are substantially
unchanged, so state. If a change has occurred, the applicant shall
respond to the paragraph in Sec.211.20 that most closely relates to
the change that has taken place.
(e) A statement that applicant's maintenance program continues to
comply with the provisions of ICAO Pilots and Airmen Annexes 1, 6 (Part
1) and 7.
[ER-1386, 49 FR 33439, Aug. 23, 1984]
Subpart D_Freely Associated State Air Carriers
Source: Amdt. No. 211-18, 52 FR 5442, Feb. 22, 1987, unless
otherwise noted.
[[Page 28]]
Editorial Note: Nomenclature changes to subpart D appear at 61 FR
34725, July 3, 1996.
Sec.211.30 Eligibility.
Foreign carriers owned and controlled by citizens of the Federated
States of Micronesia, the Marshall Islands, Palau and/or the United
States may, in accordance with the provisions of paragraph 5(b) of
Article IX of the Federal Programs and Services Agreement, implementing
section 221(a)(5) of the Compact of Free Association between the United
States and those governments, apply for authority as ``Freely Associated
State Air Carriers.'' The permit application for such authority shall be
labeled on the front page, ``Application for Freely Associated State
Foreign Air Carrier Permit.''
Sec.211.31 Application.
The application shall include, in addition to other requirements of
this part, documentation clearly establishing:
(a) That the carrier is organized under the laws of the Federated
States of Micronesia, the Marshall Islands, Palau or the United States;
(b) That substantial ownership and effective control of the carrier
are held by citizens of the Federated States of Micronesia, the Marshall
Islands, Palau and/or the United States;
(c) That citizens of other countries do not have interests in the
carrier sufficient to permit them substantially to influence its
actions, or that substantial justification exists for a temporary waiver
of this requirement;
(d) That the Administrator of the Federal Aviation Administration
has determined that the carrier complies with such safety standards as
the Administrator considers to be required.
(e) That the government or governments of the Freely Associated
States concerned have consented to the carrier's operation as a ``Freely
Associated State Air Carrier.''
Sec.211.32 Issuance of permit.
If the Department is satisfied that the applicant meets the
requirements of Sec.211.31 (a) through (e), and that grant of all or
part of the requested authority would otherwise be in the public
interest, the Department may, subject to Presidential review under
section 801(a) of the Federal Aviation Act, issue a ``Freely Associated
State Foreign Air Carrier Permit'' to the applicant, including such
terms, conditions or limitations as the Department may find to be in the
public interest.
Sec.211.33 Interstate and interstate authority.
(a) An application under this subpart may include a request, in
addition to other foreign air transportation, for authority to engage in
interstate air transportation between Guam, the Commonwealth of the
Northern Mariana Islands and Honolulu, Hawaii, and interstate air
transportation within the Commonwealth of the Northern Mariana Islands.
A request for all or part of such limited interstate air transportation
authority shall be supported by documentation establishing:
(1) The impact of such interstate air transportation services on the
economic projections of the carrier's proposed operations;
(2) The need for such proposed interstate air transportation by the
affected U.S. points;
(3) The economic impact of such interstate air transportation on
services provided by other carriers providing essential air
transportation services to eligible Freely Associated State points
within the scope of part 272 of this chapter.
(b) The Department may grant a Freely Associated State Air Carrier
authority to engage in all or part of the interstate air transportation
requested in paragraph (a) of this section provided that the Department
finds:
(1) That grant of such interstate air transportation authority would
be in furtherance of the objectives of the Compact of Free Association
and related agreements between the United States and the Freely
Associated States, and would otherwise be in the public interest; and
(2) That grant of such interstate air transportation authority would
not significantly impair the economic viability of existing services
providing essential air transportation to any eligible Freely Associated
State point within the scope of part 272 of this chapter,
[[Page 29]]
or significantly increase compensation that may be required to maintain
any such essential air transportation.
(c) The Department may, at any time, subject to Presidential review
under section 41307, suspend, modify, or revoke such interstate
authority if it concludes that the requirements specified in paragraph
(b) of this section are not then being met.
[Amdt. No. 211-18, 52 FR 5442, Feb. 22, 1987]
Sec.211.34 Other permits.
Nothing in this section shall be construed as limiting the authority
of the Department to issue a foreign air carrier permit, other than a
Freely Associated State Foreign Air Carrier Permit, to a carrier owned
or controlled, in whole or in part, by citizens of the Federated States
of Micronesia, the Marshall Islands or Palau, that does not meet the
requirements of this section.
Sec.211.35 Termination of eligibility.
The eligibility of a carrier owned or controlled, in whole or in
part, by citizens of the Federated States of Micronesia, the Marshall
Islands or Palau, respectively, for issuance of a Freely Associated
State Foreign Air Carrier Permit under this subpart shall exist only for
such period as subparagraphs (a), (d), and (e) (eligibility for Freely
Associated State essential air transportation subsidy compensation), or
subparagraph (c) (limited interstate air transportation authority), of
paragraph (5) of the Agreement on Civil Aviation Economic Services and
Related Programs (Article IX of the Federal Programs and Services
Agreement) remain in effect between the Government of those States and
the Government of the United States, insofar as authority is conferred
by such permits for purposes specified in those subparagraphs.
[Amdt. No. 211-18, 52 FR 5442, Feb. 22, 1987]
PART 212_CHARTER RULES FOR U.S. AND FOREIGN DIRECT AIR CARRIERS
--Table of Contents
Sec.
212.1 Scope.
212.2 Definitions.
212.3 General provisions.
212.4 Authorized charter types.
212.5 Operation of affinity (pro rata) charters.
212.6 Operation of gambling junket charters.
212.7 Direct sales.
212.8 Protection of customers' payments.
212.9 Prior authorization requirements.
212.10 Application for statement of authorization.
212.11 Issuance of statement of authorization.
212.12 Waiver.
Appendix A to Part 212--Certificated or Foreign Air Carrier's Surety
Bond Under Part 212 of the Regulations of the Department of
Transportation (14 CFR Part 212)
Appendix B to Part 212--Certification of Compliance
Authority: 49 U.S.C. 40101, 40102, 40109, 40113, 41101, 41103,
41504, 41702, 41708, 41712, 46101.
Source: Docket No. OST-97-2356, 63 FR 28236, May 22, 1998, unless
otherwise noted.
Sec.212.1 Scope.
This part applies to all charter flights, and all other flights
carrying charter passengers or cargo, in interstate and/or foreign air
transportation by U.S. certificated air carriers or in foreign air
transportation by foreign air carriers. It does not apply to any flights
performed by a commuter air carrier, air taxi operator, or certificated
air carrier operating ``small aircraft'' under part 298 of this chapter.
Nothing in this part gives authority to operate a type or level of
service not authorized by certificate, foreign air carrier permit, or
exemption, except that a certificated air carrier authorized to conduct
scheduled operations may conduct charter flights, in interstate and/or
foreign air transportation, without limitation as to the points served.
Sec.212.2 Definitions.
For the purposes of this part:
Affinity (pro rata) charter means a charter arranged by an
organization on behalf of its membership, and which meets the
requirements of Sec.212.5.
Certificated air carrier means a U.S. direct air carrier holding a
certificate issued under 49 U.S.C. 41102.
Charter flight means a flight operated under the terms of a charter
contract
[[Page 30]]
between a direct air carrier and its charterer or lessee. It does not
include scheduled interstate air transportation, scheduled foreign air
transportation, or nonscheduled cargo foreign air transportation, sold
on an individually ticketed or individually waybilled basis.
Charter operator means:
(1) A ``Public Charter operator'' as defined in Sec.380.2 of this
chapter, or
(2) An ``Overseas Military Personnel Charter operator'' as defined
in Sec.372.2 of this chapter.
Direct air carrier means a certificated or foreign air carrier that
directly engages in the operation of aircraft under a certificate,
permit, or exemption issued by the Department.
Fifth freedom charter means a charter flight carrying traffic that
originates and terminates in countries other than the carrier's home
country, regardless of whether the flight operates via the home country.
Foreign air carrier means a direct air carrier which is not a
citizen of the United States as defined in 49 U.S.C. 40102(a) that holds
a foreign air carrier permit issued under 49 U.S.C. 41302 or an
exemption issued under 49 U.S.C. 40109 authorizing direct foreign air
transportation.
Fourth freedom charter means a charter flight carrying traffic that
terminates in the carrier's home country having originated in another
country.
Gambling junket charter means a charter arranged by a casino, hotel,
cruise line, or its agents, the purpose of which is to transport
passengers to the casino, hotel, or cruise ship where gambling
facilities are available, and which meets the requirements of Sec.
212.6.
Long-term wet lease means a wet lease which either--
(1) Lasts more than 60 days, or
(2) Is part of a series of such leases that amounts to a continuing
arrangement lasting more than 60 days.
Mixed charter means a charter, the cost of which is borne partly by
the charter participants and partly by the charterer, where all the
passengers meet the eligibility requirements for ``affinity (pro rata)''
charters of Sec.212.5.
Part charter means flight carrying both charter and scheduled
passenger traffic.
Seventh-freedom charter means a charter flight carrying traffic that
originates and terminates in a country other than the foreign air
carrier's home country, where the flight does not have a prior,
intermediate, or subsequent stop in the foreign air carrier's home
country.
Single entity charter means a charter the cost of which is borne by
the charterer and not by individual passengers, directly or indirectly.
Sixth-freedom charter means a charter flight carrying traffic that
originates and terminates in a country other than the country of the
foreign air carrier's home country, provided the flight operates via the
home country of the foreign air carrier.
Third freedom charter means a charter flight carrying traffic that
originates in the carrier's home country and terminates in another
country.
Wet lease means a lease between direct air carriers by which the
lessor provides all or part of the capacity of an aircraft, and its
crew, including operations where the lessor is conducting services under
a blocked space or code-sharing arrangement.
[Docket No. OST-97-2356, 63 FR 28236, May 22, 1998, as amended at 71 FR
5784, Feb. 3, 2006]
Sec.212.3 General provisions.
(a) Certificated and foreign air carriers may conduct charter
flights as described in this part, and may carry charter passengers on
scheduled flights, or charter cargo on scheduled or nonscheduled flights
(or on the main deck or in the belly of passenger charter flights),
subject to the requirements of this chapter and any orders of, or
specific conditions imposed by, the Department.
(b) Charter flights may be operated on a round-trip or one-way
basis, with no minimum group, shipment, or contract size.
(c) Contracts to perform charter flights must be in writing and
signed by an authorized representative of the certificated or foreign
air carrier and the charterer prior to the operation of the flights
involved. The written agreement shall include:
(i) The name and address of either the surety whose bond secures
advance
[[Page 31]]
charter payments received by the carrier, or of the carrier's depository
bank to which checks or money orders for the advance charter payments
are to be made payable as escrow holder pending completion of the
charter trip; and
(2) A statement that unless the charterer files a claim with the
carrier, or, if the carrier is unavailable, with the surety, within 60
days after the cancellation of a charter trip with respect to which the
charterer's advance payments are secured by the bond, the surety shall
be released from all liability under the bond to such charterer for such
trips.
(d) A certificated or foreign air carrier must make a reasonable
effort to verify that any charterer with which it contracts, and any
charter it conducts, meets the applicable requirements of this chapter.
(e) The certificated or foreign air carriers shall require full
payment of the total charter price, including payment for the return
portion of a round trip, or the posting of a satisfactory bond for full
payment, prior to the commencement of any portion of the air
transportation, provided, however, that in the case of a passenger
charter for less than the entire of an aircraft, the carrier shall
require full payment of the total charter price, including payment for
the return portion of a round trip, from the charterers not less than 10
days prior to the commencement of any portion of the transportation, and
such payment shall not be refundable unless the charter is canceled by
the carrier or unless the carrier accepts a substitute charterer for one
which has canceled a charter, in which case the amount paid by the
latter shall be refunded. For the purpose of this section, payment to
the carrier's depository bank, as designated in the charter contract,
shall be deemed payment to the carrier.
(f) A certificated or foreign air carrier operating a U.S.-
originating passenger charter shall be responsible to return to his or
her point of origin any passenger who purchased round trip
transportation on that charter and who was transported by that carrier
on his or her outbound flight; except that this provision shall not
apply in cases where the return transportation is to be provided by
another certificated or foreign air carrier.
(g) A certificated or foreign air carrier may not perform any
charter flight for which a statement of authorization is required under
Sec.212.9 until one has been granted by the Department. In addition,
if a foreign air carrier is required to obtain a statement of
authorization under paragraph (e) of that section, neither it, not any
charter operator, or any other person shall advertise or sell any
passenger charter services except those that have been specifically
authorized by the Department.
(h) A certificated air carrier may not operate charters where such
operations would result in a substantial change in the scope of its
operations within the meaning of part 204 of this chapter.
(i) A certificated air carrier may not limit its baggage liability
for interstate charter flights except as set forth in part 254 of this
chapter.
(j) A certificated air carrier may not, except as set forth in part
121 of the Federal Aviation Regulations (14 CFR part 121), limit the
availability, upon reasonable request, of air transportation and related
services to a person who may require help from another person in
expeditiously moving to an emergency exit for evacuation of an aircraft.
(k) A certificated air carrier holding a certificate to conduct only
cargo operations may not conduct passenger charters.
(l) A certificated air carrier may not perform any charter in
interstate commerce within the State of Alaska.
(m) A foreign air carrier may operate charters in foreign air
transportation only to the extent authorized by its foreign air carrier
permit under 49 U.S.C. 41302 or exemption authority under 49 U.S.C.
40109, and only to the extent to which such operations are consistent
with the provisions of any applicable bilateral aviation undertaking.
Sec.212.4 Authorized charter types.
Certificated and foreign air carriers may conduct the following
charter types, subject to the provisions of this part:
(a) Affinity (pro rata) charters.
[[Page 32]]
(b) Single entity charters, including:
(1) Wet leases involving the carriage of passengers and/or cargo,
provided, that the wet lessee holds appropriate economic authority from
the Department to conduct the proposed operations; and
(2) Charters pursuant to contracts with the Department of Defense,
provided, that foreign air carriers may conduct charters for the
Department of Defense only to the extent that such operations are
consistent with the provisions of 49 U.S.C. 40118.
(c) Mixed charters.
(d) Gambling junket charters.
(e) Public Charters in accordance with part 380 of this chapter
(including operations by educational institutions as defined in that
part).
(f) Overseas military personnel charters in accordance with part 372
of this chapter.
(g) Cargo charters.
Sec.212.5 Operation of affinity (pro rata) charters.
An affinity (pro rata) charter operated by a certificated or foreign
air carrier must meet the following criteria:
(a) The aircraft must be chartered by an organization, no part of
whose business is the formation of groups for transportation or
solicitation or sale of transportation services, for the purpose of
providing air transportation to its members and their immediate
families.
(b) The charter must be organized by the organization itself, or by
a person or company who acts not as a principal, but as an agent for the
chartering organization or the certificated or foreign air carrier.
(c) No solicitation, sales, or participation may take place beyond
the bona fide members of an eligible chartering organization, and their
immediate families (spouse, children, and parents). All printed
solicitation materials shall contain the following notice in boldface,
10-point or larger type--
Some of the Federal rules that protect against tour changes and loss
of passengers' money in publicly sold charters do not apply to this
charter flight.
(d) ``Bona fide members'' are members of an organization who: Have
not joined the organization merely to travel on a charter flight; and
who have been members of the chartering organization for a minimum of
six months prior to the date of commencement of the affected flight;
provided, that the ``six month'' rule does not apply to:
(1) Employees of a single commercial establishment, industrial
plant, or government agency, or
(2) Students and employees of a single school.
(e) The charter price due the direct air carrier shall be prorated
equally among all the charter passengers, except that children under 12
may be offered discounted or free transportation.
(f) The certificated or foreign air carrier shall make reasonable
efforts to assure that passengers transported meet the eligibility
requirements of this section. The certificated or foreign air carrier
shall also obtain (no later than the date of departure), and maintain
for two years, a certification by an authorized representative of the
chartering organization that all passengers are eligible for
transportation under this section.
Sec.212.6 Operation of gambling junket charters.
A gambling junket charter operated by a certificated or foreign air
carrier must meet the following criteria:
(a) The aircraft must be chartered by
(1) A casino, hotel, or cruise line duly licensed by the government
of any state, territory or possession of the United States, or by a
foreign government, or
(2) An agent of such a casino, or cruise line on behalf of that
casino, hotel, or cruise line.
(b) The casino, hotel, or cruise line or its agents, may not require
a passenger to incur any expense in taking the trip, provided, that this
provision shall not preclude the casino, hotel, or cruise line or its
agents, from requiring prospective passengers to pay nominal reservation
fees that are duly refundable by the casino, hotel, or cruise line
before the flight, establish a minimum line-of-credit at the casino,
hotel, or cruise line, bring (but not necessarily spend) a specified
minimum amount of money, or meet other requirements that do not place
them in financial
[[Page 33]]
jeopardy; nor does it preclude the casino, hotel, or cruise line, or its
agents, from offering operational land packages for a fee.
Sec.212.7 Direct sales.
(a) Certificated and foreign air carriers may sell or offer for
sale, and operate, as principal, Public Charter flights under part 380
of this chapter directly to the public.
(b) Each certificated or foreign air carrier operating a charter
trip under this section shall comply with all the requirements of part
380 of this chapter, except that:
(1) Those provisions of part 380 relating to the existence of a
contract between a charter operator and a direct air carrier do not
apply;
(2) A depository agreement shall comply with Sec.380.34a (d) and
(f);
(3) A security agreement shall comply with Sec.380.34 (c) and (d);
and
(i) If no depository agreement is used, protect charter participant
payments (including those for ground accommodations and services) and
assure the certificated or foreign air carrier's contractual and
regulatory responsibilities to charter participants in an unlimited
amount (except that the liability of the securer with respect to any
charter participant may be limited to the charter price paid by or on
behalf of such participant);
(ii) If used in combination with a depository agreement, protect
charter participant payments (including those for ground accommodations
and services) and assure the certificated or foreign air carrier's
contractual and regulatory responsibilities to charter participants in
the amount of at least $10,000 times the number of flights, except that
the amount need not be more than $200,000. The liability of the securer
with respect to any charter participant may be limited to the charter
price paid by or on behalf of such participant.
(c) The Department reserves the right to limit or prohibit the
operation of direct sales Public Charters by a foreign air carrier upon
a finding that such action is necessary in the public interest.
Sec.212.8 Protection of customers' payments.
(a) Except as provided in paragraph (c) of this section, no
certificated air carrier or foreign air carrier shall perform any
charter trip (other than a cargo charter trip) originating in the United
States or any Overseas Military Personnel Charter trip, as defined in
part 372 of this chapter, nor shall such carrier accept any advance
payment in connection with any such charter trip, unless there is on
file with the Department a copy of a currently effective agreement made
between said carrier and a designated bank, by the terms of which all
sums payable in advance to the carrier by charterers, in connection with
any such trip to be performed by said carrier, shall be deposited with
and maintained by the bank, as escrow holder, the agreement to be
subject to the following conditions:
(1) The charterer (or its agent) shall pay the carrier either by
check or money order made payable to the depository bank. Such check or
money order and any cash received by the carrier from a charterer (or
its agent) shall be deposited in, or mailed to, the bank no later than
the close of the business day following the receipt of the check or
money order or the cash, along with a statement showing the name and
address of the charterer (or its agent); provided, however, that where
the charter transportation to be performed by a carrier is sold through
a travel agent, the agent may be authorized by the carrier to deduct its
commission and remit the balance of the advance payment to the carrier
either by check or money order made payable to the designated bank.
(2) The bank shall pay over to the carrier escrowed funds with
respect to a specific charter only after the carrier has certified in
writing to the bank that such charter has been completed; provided,
however, that the bank may be required by the terms of the agreement to
pay over to the carrier a specified portion of such escrowed funds, as
payment for the performance of the outbound segment of a round-trip
charter upon the carrier's written certification that such segment has
been so completed.
[[Page 34]]
(3) Refunds to a charterer from sums in the escrow account shall be
paid directly to such charterer its assigns. Upon written certification
from the carrier that a charter has been canceled, the bank shall turn
over directly to the charterer or its assigns all escrowed sums (less
any cancellation penalties as provided in the charter contract) which
the bank holds with respect to such canceled charter, provided however,
that in the case of a split charter escrowed funds shall be turned over
to a charterer or its assigns only if the carrier's written
certification of cancellation of such charter includes a specific
representation that either the charter has been canceled by the carrier
or, if the charter has been canceled by the charterer, that the carrier
has accepted a substitute charterer.
(4) The bank shall maintain a separate accounting for each charter
flight.
(5) As used in this section the term ``bank'' means a bank insured
by the Federal Deposit Insurance Corporation.
(b) The escrow agreement required under paragraph (a) of this
section shall not be effective until approved by the Department. Claims
against the escrow may be made only with respect to the non-performance
of air transportation.
(c) The carrier may elect, in lieu of furnishing an escrow agreement
pursuant to paragraph (a) of this section, to furnish and file with the
Department a surety bond with guarantees to the United States Government
the performance of all charter trips (other than cargo charter trips)
originating in the United States and of all overseas military personnel
charter trips, as defined in part 372 of this chapter, to be performed,
in whole or in part, by such carrier pursuant to any contracts entered
into by such carrier. The amount of such bond shall be unlimited. \1\
Claims under the bond may be made only with respect to the non-
performance of air transportation.
---------------------------------------------------------------------------
\1\ While the face amount of the bond is unlimited, claims are
limited to amounts that are paid to carrier for U.S.-originating
passenger charter flights that carrier fails to perform or to refund.
---------------------------------------------------------------------------
(d) The bond permitted by this section shall be in the form set
forth as the appendix to this part. Such bond shall be issued by a
bonding or surety company--
(1) Which is listed in Best's Insurance Reports (Fire and Casualty)
with a general policyholders' rating of ``A'' or better or
(2) Which is listed in the U.S. Department of Treasury's notice
listing companies holding Certificates of Authority as acceptable
sureties on Federal bonds and as acceptable reinsuring companies,
published in the Federal Register on or about July 1. The bonding or
surety company shall be one legally authorized to issue bonds of that
type in the State in which there is located the office or usual
residence of the agency designated by the carrier under 49 U.S.C. 46103
to receive service of notices, process and other documents issued by or
filed with the Department of Transportation. For the purposes of this
section the term ``State'' includes any territory or possession of the
United States, or the District of Columbia. If the bond does not comply
with the requirements of this section, or for any reason fails to
provide satisfactory or adequate protection for the public, the
Department will notify the certificated or foreign air carrier by
registered or certified mail, stating the deficiencies of the bond.
Unless such deficiencies are corrected within the time limit set forth
in the notification, no amounts payable in advance by customers for the
subject charter trips shall be accepted by the carrier.
(e) The bond required by this section shall provide that unless the
charterer files a claim with the carrier, or, if the carrier is
unavailable, with the surety, within 60 days after cancellation of a
charter trip with respect to which the charterer's advance payments are
secured by the bond, the surety shall be released from all liability
under the bond to such charterer for such charter trip. The contract
between the carrier and the charterer shall contain notice of this
provision.
Sec.212.9 Prior authorization requirements.
(a) Certificated air carriers shall obtain a statement of
authorization for
[[Page 35]]
each long-term wet lease to a foreign air carrier.
(b) Foreign air carriers shall obtain a statement of authorization
for each:
(1) Fifth-, sixth- and/or seventh-freedom charter flights to or from
the United States;
(2) Long-term wet lease;
(3) Charter flight for which the Department specifically requires
prior authorization under paragraph (e) or (f) of this section; or
(4) Part charter.
(c) The Department may issue blanket statements of authorization to
foreign air carriers to conduct fifth freedom charters. The standards
for issuing such blanket authorizations shall be those stated in Sec.
212.11. The Department may revoke any authority granted under this
paragraph at any time without hearing.
(d) The Department may at any time, with or without hearing, but
with at least 30 days' notice, require a foreign air carrier to obtain a
statement of authorization before operating any charter flight. In
deciding whether to impose such a requirement, the Department will
consider (but not be limited to considering) whether the country of the
carrier's nationality:
(1) Requires prior approval for third or fourth freedom charter
flights by U.S. air carriers;
(2) Has, over the objection of the U.S. Government, denied rights of
a U.S. air carrier guaranteed by a bilateral agreement; or
(3) Has otherwise impaired, limited, or denied the operating rights
of U.S. air carriers, or engaged in unfair, discriminatory, or
restrictive practices with respect to air transportation services to,
from, through, or over its territory.
(e) The Department, in the interest of national security, may
require a foreign air carrier to provide prior notification or to obtain
a statement of authorization before operating any charter flight over
U.S. territory.
[Docket No. OST-97-2356, 63 FR 28236, May 22, 1998, as amended at 71 FR
5785, Feb. 3, 2006]
Sec.212.10 Application for statement of authorization.
(a) Application for a statement of authorization shall be submitted
on OST Form 4540 except that for part charters or long-term wet leases
the application may be in letter form. An application for a long-term
wet lease shall describe the purpose and terms of the wet lease
agreement. Except for an application for a long-term wet lease involving
a codeshare agreement, an original and two copies of an application
shall be submitted to the Department of Transportation, Office of
International Aviation, U.S. Air Carrier Licensing Division, X-44 (for
an application by a certificated air carrier), or Foreign Air Carrier
Licensing Division, X-45 (for an application by a foreign air carrier),
1200 New Jersey Avenue, SE., Washington, DC 20590; an original and two
copies of an application for a long-term wet lease involving a codeshare
agreement shall be submitted to DOT Dockets, PL-401, 1200 New Jersey
Avenue, SE., Washington, DC 20590, or by electronic submission to DOT
Dockets according to procedures at the DOT Dockets website. Upon a
showing of good cause, the application may be transmitted by facsimile
(fax) or telegram, or may be made by telephone, provided, that in the
case of a fax or telephone application, the applicant must confirm its
request (by filing an original and two copies of its application as
described above) within three business days.
(b) A copy of each application for a long-term wet lease shall also
be served on the Director of Flight Standards Service (AFS-1), Federal
Aviation Administration, 800 Independence Avenue, SW., Washington, DC
20591, and on each certificated air carrier that is authorized to serve
the general area in which the proposed transportation is to be
performed.
(c)(1) Applicants for statements of authorization filed by foreign
air carriers shall include documentation to establish the extent to
which the country of the applicant's nationality deals with U.S. air
carriers on the basis of reciprocity for similar flights, if such
flights are not subject to a bilateral agreement, and
(i) The Department has not established that the country accords
reciprocity;
(ii) The Department has found reciprocity defective in the most
recent
[[Page 36]]
prior approval application involving the country; or
(iii) Changes in reciprocity have occurred since the most recent
Department finding for the country in question.
(2) Applications filed by certificated or foreign air carriers to
conduct long-term wet leases shall include, for the country of the
lessee's nationality, the documentation specified in paragraph (c)(1) of
this section.
(d)(1) Applications shall be filed at least 5 business days before
commencement of the proposed flight or flights, except as specified in
paragraphs (d)(2), (d)(3), and (d)(4) of this section. Late applications
may be considered upon a showing of good cause for the lateness.
(2) Applications for a part charter or for a long-term wet lease
shall be filed at least 45 calendar days before the date of the first
proposed flight.
(3) Applications specifically required under Sec.212.9(d) shall be
filed at least 30 calendar days before the proposed flight or flights
(10 calendar days for cargo charters), unless otherwise specified by the
Department.
(4) Applications required by a Department order under Sec.212.9(e)
shall be filed at least 14 calendar days before the proposed flight or
flights, unless otherwise specified by the Department.
(5) Where an application is required by more than one provision of
this part and/or order of the Department, only one application need be
filed, but it must conform to the earliest applicable filing deadline.
(6) The Department may require service of applications as it deems
necessary.
(e)(1) Any part in interest may file a memorandum supporting or
opposing an application. Three copies of each memorandum shall be filed
within 7 business days after service of the application or before the
date of the proposed flight or flights, whichever is earlier.
Memorandums will be considered to the extent practicable; the Department
may act on an application without waiting for supporting or opposing
memorandums to be filed.
(2) Each memorandum shall set forth the reasons why the application
should be granted or denied, accompanied by whatever data, including
affidavits, the Department is requested to consider.
(3) A copy of each memorandum shall be served on the certified or
foreign air carrier applying for approval.
(f)(1) Unless otherwise ordered by the Department, each application
and memorandum filed in response will be available for public inspection
at the Office of International Aviation immediately upon filing. Such
information with respect to codeshare applications and responsive
pleadings will be available for public inspection at DOT Dockets or at
the DOT Dockets website. Notice of the filing of all applications shall
be published in the Department's Weekly List of Applications Filed.
(2) Any person objecting to public disclosure of any information in
an application or memorandum must state the grounds for the objection in
writing. If the Department finds that disclosure of all or part of the
information would adversely affect the objecting person, and that the
public interest does not require disclosure, it will order that the
injurious information be withheld.
[Docket No. OST-97-2356, 63 FR 28236, May 22, 1998, as amended at 64 FR
3213, Jan. 21, 1999]
Sec.212.11 Issuance of statement of authorization.
(a) The Department will issue a statement of authorization if it
finds that the proposed charter flight, part charter, or wet lease meets
the requirements of this part and that it is in the public interest.
Statements of authorization may be conditioned or limited.
(b) In determining the public interest the Department will consider
(but not be limited to) the following factors:
(1) The extent to which the authority sought to covered by and
consistent with bilateral agreements to which the United States is a
party.
(2) The extent to which an applicant foreign air carrier's home
country (and, in the case of a long-term wet lease, the lessee's home
country) deals with U.S. air carriers on the basis of substantial
reciprocity.
(3) Whether the applicant or its agent has previously violated the
provisions of this part.
[[Page 37]]
(4) Where the application concerns a long-term wet lease:
(i) Whether the lessor (applicant) or its agent or the lessee
(charterer) or its agent has previously violated the provisions of the
Department's charter regulations.
(ii) Whether, because of the nature of the arrangement and the
benefits involved, the authority sought should be the subject of a
bilateral agreement.
(iii) To what extent the lessor owns and/or controls the lessee, or
is owned and/or controlled by the lessee.
(c) The Department will submit any denial of an authorization
specifically required of a foreign air carrier under Sec.212.9(d) to
the President of the United States at least 10 days before the proposed
departure. The denial will be subject to stay or disapproval by the
President within 10 days after it is submitted. A shorter period for
Presidential review may be specified by the Department where the
application for authorization is not timely or properly filed. Denial of
a late-filed application need not be submitted to the President. For the
purposes of this paragraph, an application filed by a foreign air
carrier under Sec.212.9(d) to conduct a cargo charter will be
considered as timely filed only if it is filed at least 30 calendar days
before the proposed flight, notwithstanding the 10-day filing
requirement for cargo charters in Sec.212.10(d)(3).
(d) The Department will publish notice of its actions on
applications for statements of authorization in its Weekly List of
Applications Filed. Interested persons may upon request obtain copies of
letters of endorsed forms advising applicants of action taken on their
applications.
Sec.212.12 Waiver.
The Department may grant a waiver of any of the provisions of this
part upon a finding that such waiver is in the public interest. A
certificated or foreign air carrier may request a waiver by filing a
written application with the Department, citing the specific provision
to be waived and providing justification for such waiver.
Sec. Appendix A to Part 212--Certificated or Foreign Air Carrier's
Surety Bond Under Part 212 of the Regulations of the Department of
Transportation (14 CFR Part 212)
Know all persons by these presents, that we --------------------
(Name of certificated or foreign air carrier) of --------------------,
(City) -------------------- (State or Country) as Principal (hereinafter
called Principal), and -------------------- (name of Surety) a
corporation created and existing under the laws of the State of --------
-------- (State) as Surety (hereinafter called Surety) are held and
firmly bound unto the United States of America in an unlimited amount,
as required by 14 CFR 212.8, for which payment, well and truly to be
made, we bind ourselves and our heirs, executors, administrators,
successors, and assigns, jointly and severally, firmly by these
presents.
Whereas the principal, a certificated air carrier holding a
certificate of public convenience and necessity issued under 49 U.S.C.
41102, or a foreign air carrier holding a foreign air carrier permit
issued under 49 U.S.C. 41302 or an exemption issued under 49 U.S.C.
40109 authorizing that foreign air carrier to engage in charter trips in
foreign air transportation, is subject to rules and regulations of the
Department of Transportation relating to security for the protection of
charterers of civil aircraft and has elected to file with the Department
of Transportation such a bond as will guarantee to the United States
Government the performance of all charter trips (other than cargo
charter trips) originating in the United States and of all Overseas
Military Personnel Charters, as defined in 14 CFR part 372, to be
performed, in whole or in part, by such certificated or foreign air
carrier pursuant to contracts entered into by such carrier after the
execution date of this bond, and
Whereas this bond is written to assure compliance by the Principal
with rules and regulations of the Department of Transportation relating
to security for the protection of charterer of civil aircraft for
charter trips (other than cargo charters) originating in the United
States or of Overseas Military Personnel Charter trips and shall inure
to the benefit of any and all such charterers to whom the Principal may
be held legally liable for any of the damages herein described.
Now, therefore, the condition of this obligation is such that if the
Principal shall pay or cause to be paid to such charterer any sum or
sums for which the Principal may be held legally liable by reason of the
Principal's failure faithfully to perform, fulfill, and carry out all
contracts made by the Principal while this bond is in effect for the
performance of charter trips (other than
[[Page 38]]
cargo charter trips) originating in the United States and of Overseas
Military Personnel Charter trips, then this obligation shall be void,
otherwise to remain in full force and effect.
The liability of the Surety shall not be discharged by any payment
or succession of payments hereunder in any specified amount. The surety
agrees to furnish written notice to the Department of Transportation
forthwith of all suits filed, judgments rendered, and payments made by
said Surety under this bond.
This bond is effective the ------ day of ----------------, --------,
12:01 a.m., standard time at the address of the Principal as stated
herein and shall continue in force until terminated as hereinafter
provided. The Principal or the Surety may at any time terminate this
bond by written notice to the Department of Transportation at its office
in Washington, D.C., such termination to become effective thirty (30)
days after actual receipt of said notice by the Department. The Surety
shall not be liable hereunder for the payment of the damages
hereinbefore described which arise as the result of any contracts for
the performance of air transportation services made by the Principal
after the termination of this bond becomes effective, as herein
provided, but such termination shall not affect the liability of the
Surety hereunder for the payment of any such damages arising as the
result of contracts for the performance of air transportation services
made by the Principal after the termination of this bond becomes
effective. Liability of the Surety under this bond shall in all events
be limited only to a charterer who shall within sixty (60) days after
the cancellation of a charter trip with respect to which the charterer's
advance payments are secured by this bond give written notice of claim
to the certificated or foreign air carrier, or, if it is unavailable, to
the Surety, and all liability on this bond for such charter trip shall
automatically terminate sixty (60) days after the termination date
thereof except for claims filed within the time provided herein.
In witness whereof, the said Principal and Surety have executed this
instrument on the ------ day of ----------------, --------.
Principal
Name____________________________________________________________________
By: Signature and title_________________________________________________
Witness_________________________________________________________________
Surety
Name____________________________________________________________________
By: Signature and title_________________________________________________
Witness_________________________________________________________________
Bonding or surety company must be listed in Best's Insurance Reports
(Fire and Casualty) with a general policyholders' rating of ``A'' or
better or in the Department of the Treasury listing of companies holding
certificates of authority as acceptable sureties on Federal bonds. In
addition, the bonding or surety company shall be one legally authorized
to issue bonds of that type in the State(s) in which the charter
flight(s) originate. Agents must provide satisfactory proof that they
have the requisite authority to issue this bond.
Sec. Appendix B to Part 212--Certification of Compliance
Organization Charterworthiness for Affinity Charter Air Transportation
and Eligibility of All Prospective Passengers for Such Flights Under
Part 212 of the Regulations of the Department of Transportation (14 CFR
Part 212)
I declare under penalty of perjury under the laws of the United
States of America that the foregoing is true and correct.
PART 213_TERMS, CONDITIONS AND LIMITATIONS OF FOREIGN AIR CARRIER
PERMITS--Table of Contents
Sec.
213.1 Applicability.
213.2 Reports of traffic data.
213.3 Filing and approval of schedules.
213.4 [Reserved]
213.5 Filing and service of schedules and applications for approval of
schedules; procedure thereon.
213.6 Compliance.
213.7 Filing requirements for adherence to Montreal Agreement.
Authority: 49 U.S.C. Chapters 401, 411, 413, 415, 417.
Source: ER-624, 35 FR 8881, June 9, 1970, unless otherwise noted.
Editorial Note: Nomenclature changes to part 213 appear at 61 FR
34725, July 3, 1996.
Sec.213.1 Applicability.
This regulation sets forth terms, conditions, and limitations
applicable to foreign air carrier permits issued under section 41302 of
Title 49 of the United States Code (Transportation) authorizing
scheduled foreign air transportation. Unless such permits or the orders
issuing such permits otherwise provide, the exercises of the privileges
to engage in scheduled foreign air transportation granted by any such
permit shall be subject to the terms, conditions, and limitations as are
set forth in this part, and as may from
[[Page 39]]
time to time be prescribed by the Department.
[ER-680, 36 FR 7306, Apr. 17, 1971, as amended at 61 FR 34725, July 3,
1996]
Sec.213.2 Reports of traffic data.
The Department may at any time require any foreign air carrier to
file with the Department traffic data disclosing the nature and extent
of such carrier's engagement in transportation between points in the
United States and points outside thereof. The Department will specify
the traffic data required in each such instance. Interested persons
seeking reconsideration of a Department determination under this section
may file a petition pursuant to Rule 14 of part 302 within 10 days after
Department action.
[ER-624, 35 FR 8881, June 9, 1970, as amended at 65 FR 6456, Feb. 9,
2000]
Sec.213.3 Filing and approval of schedules.
(a) In the absence of provisions to the contrary in the permit and
of Department action pursuant to this section, a foreign air carrier may
determine the schedules (including type of equipment used) pursuant to
which it engages in transportation between points in the United States
and points outside thereof.
(b) In the case of a foreign air carrier permit for scheduled air
transportation which is not the subject of an air transport agreement
between the United States and the government of the holder, the
Department, if it finds that the public interest so requires, may with
or without hearing order the foreign air carrier to file with it within
7 days after service of such order, an original and three copies of any
or all of its existing schedules of service between any point in the
United States and any point outside thereof, and may require such
carrier thereafter to file an original and three copies of any proposed
schedules of service between such points at least 30 days prior to the
date of inauguration of such service. Such schedules shall contain all
schedules of aircraft which are or will be operated by such carrier
between each pair of points set forth in the order, the type of
equipment used or to be used, the time of arrival and departure at each
point, the frequency of each schedule, and the effective date of any
proposed schedule.
(c) In the case of any foreign air carrier permit for scheduled air
transportation which is the subject of an air transport agreement
between the United States and the government of the holder, the
Department may with or without hearing issue an order, similar to that
provided for in paragraph (b) of this section, if it makes the findings
provided for in that subsection and, in addition, finds that the
government or aeronautical authorities of the government of the holder,
over the objections of the U.S. Government, have: (1) Taken action which
impairs, limits, terminates, or denies operating rights, or (2)
otherwise denied or failed to prevent the denial of, in whole or in
part, the fair and equal opportunity to exercise the operating rights,
provided for in such air transport agreement, of any U.S. air carrier
designated thereunder with respect to flight operations to, from,
through, or over the territory of such foreign government.
(d) The carrier may continue to operate existing schedules, and may
inaugurate operations under proposed schedules 30 days after the filing
of such schedules with the Department, unless the Department with or
without hearing issues an order, subject to stay or disapproval by the
President of the United States within 10 days after adoption, notifying
the carrier that such operations, or any part of them, may be contrary
to applicable law or may adversely affect the public interest. If the
notification pertains to a proposed schedule, service under such
schedule shall not be inaugurated; if the notification pertains to
existing schedules, service under such schedules shall be discontinued
on the date specified in the Department's order. Such date shall be not
less than ten days after adoption of the Department's order unless
affirmative Presidential approval is obtained at an earlier date.
(e) No petitions for reconsideration may be filed with respect to
Department orders issued pursuant to paragraph (b), (c), or (d) of this
section. Nevertheless, if the Department serves
[[Page 40]]
a notification under paragraph (d) of this section, the carrier may make
application to the Department for approval of any or all existing or
proposed schedules, pursuant to the provisions of Sec.213.5. The
Department may with or without hearing withdraw, in whole or in part,
its notification at any time and may permit existing or proposed
schedules to be operated for such period or periods as the Department
may determine.
(f) The date of service on a foreign air carrier of orders and
notifications pursuant to this section shall be the date of mailing
thereof, by certified or registered mail, to the agent designated by the
foreign air carrier pursuant to 49 U.S.C. 46103 or, if the foreign air
carrier has failed to designate an agent, the date of mailing by
registered air mail to the foreign air carrier's home office.
[ER-624, 35 FR 8881, June 9, 1970, as amended by ER-870, 39 FR 30843,
Aug. 26, 1974; ER-1107, 47 FR 46495, Oct. 19, 1982; 61 FR 34725, July 3,
1996]
Sec.213.4 [Reserved]
Sec.213.5 Filing and service of schedules and applications
for approval of schedules; procedure thereon.
(a) Number of copies and certificate of service. An original and
three copies of each schedule, and an original and seven (7) copies of
application for approval of schedules (Sec.213.3(e)) shall be filed
with the Department, each setting forth the names and addresses of the
persons, if any, required to be served, and stating that service has
been made on all such persons by personal service or by registered or
certified mail (if the addressee is located within the United States,
its territories and possessions) or by registered air mail (if the
addressee is located outside the United States, its territories and
possessions) and the date of such service. In the case of service by
mail, the date of mailing shall be considered the date of service.
(b) Pleadings by interested persons. Any interested person may file
and serve upon the foreign air carrier a memorandum in opposition to, or
in support of, schedules or an application for approval of schedules
within 10 days of the filing opposed or supported. All memoranda shall
set forth in detail the reasons for the position taken together with a
statement of economic data and other matters which it is desired that
the Department officially notice, and affidavits stating other facts
relied upon. Memoranda shall contain a certificate of service as
prescribed in paragraph (a) of this section. An executed original and
seven (7) true copies shall be filed with the Department's Docket
Facility. Unless otherwise provided by the Department, further pleadings
will not be entertained.
(c) Determination and petitions for reconsideration. The Department
may make its determination upon the application and other pleadings or,
in its discretion, after hearing. Interested persons seeking
reconsideration of the Department's determination on an application
approval of schedules may file a petition pursuant to Rule 14 of part
302 of this chapter within 10 days of Department action. Any interested
person may file an answer in opposition to, or in support of, the
petition within 10 days after it is filed. An executed original and 19
copies of such petition for reconsideration or memorandum shall be filed
with the Docket Facility. All petitions for reconsideration shall
contain a certificate of service in the form prescribed by paragraph (a)
of this section. Unless ordered by the Department upon application or
upon its own motion, further pleadings will not be entertained.
[ER-624, 35 FR 8881, June 9, 1970, as amended by ER-644, 35 FR 14382,
Sept. 12, 1970; 61 FR 34725, July 3, 1996; 65 FR 6456, Feb. 9, 2000]
Sec.213.6 Compliance.
Any violation by the foreign air carrier of applicable provisions of
Subtitle VII of Title 49 of the U.S. Code or of orders, rules or
regulations issued thereunder, or of the terms, conditions or
limitations applicable to the exercise of the privileges granted by the
permit shall constitute a failure to comply with the terms, conditions
and limitations of such permit: Provided, That upon a showing that a
violation of a provision not mandatorily prescribed by law resulted from
the observance by the holder of an obligation, duty or liability imposed
by a foreign country,
[[Page 41]]
the Department may excuse the violation.
[ER-624, 35 FR 8881, June 9, 1970, as amended at 61 FR 34725, July 3,
1996]
Sec.213.7 Filing requirements for adherence to Montreal Agreement.
It shall be a condition upon the holding of a foreign air carrier
permit or other authority authorizing direct foreign scheduled air
transportation that the holder have and maintain in effect and on file
with the Department a signed counterpart of Agreement 18900 (OST Form
4523), and a tariff (for those carriers otherwise generally required to
file tariffs) that includes its provisions, and comply with all other
requirements of part 203 of this chapter. That form can be obtained from
the Foreign Air Carrier Licensing Division (X-45), Office of
International Aviation, Department of Transportation, 1200 New Jersey
Avenue, SE., Washington, DC 20590.
(Approved by the Office of Management and Budget under control number
3024-0064)
[ER-1330, 48 FR 8050, Feb. 25, 1983, as amended by ER-1346, 48 FR 31014,
July 6, 1983; 61 FR 34725, July 3, 1996]
PART 214_TERMS, CONDITIONS, AND LIMITATIONS OF FOREIGN AIR CARRIER
PERMITS AUTHORIZING CHARTER TRANSPORTATION ONLY--Table of Contents
Sec.
214.1 Applicability.
214.2 Terms of service.
Sec.214.1 Applicability.
This part establishes the terms, conditions, and limitations
applicable to charter foreign air transportation pursuant to foreign air
carrier permits authorizing the holder to engage in charter
transportation only.
(Secs. 204, 402, Pub. L. 85-726, as amended, 72 Stat. 743, 757; 49
U.S.C. 1324, 1371)
[ER-1223, 46 FR 28379, May 26, 1981]
Sec.214.2 Terms of service.
Charter air transportation under this part shall be performed in
accordance with the provisions of part 212 of this chapter.
(Secs. 204, 402, Pub. L. 85-726, as amended, 72 Stat. 743, 757; 49
U.S.C. 1324, 1371)
[ER-1223, 46 FR 28379, May 26, 1981]
PART 215_USE AND CHANGE OF NAMES OF AIR CARRIERS, FOREIGN AIR CARRIERS
AND COMMUTER AIR CARRIERS--Table of Contents
Sec.
215.1 Applicability.
215.2 Purpose.
215.3 Use of name.
215.4 Change of name or use of trade name.
215.5 Procedure in case of similarity of names.
215.6 Acknowledgment of registration.
Authority: 49 U.S.C. Chapters 401, 411, 413, 417.
Source: 53 FR 17923, May 19, 1988, unless otherwise noted.
Sec.215.1 Applicability.
This part applies to all certified air carriers, commuter air
carriers, and foreign direct air carriers and to initial or amended
applications for authority, applications for certificate or permit
transfers or reissuances, and registration of business names.
Sec.215.2 Purpose.
This part sets rules under which direct air carriers may use the
names in their operating authorizations and change those names. It
further provides for notification to air carriers that may be affected
by the use by other air carriers of the same or similar names. Its
purpose is to place the responsibility for resolving private disputes
about the use of similar names with the air carriers involved, through
recourse to the trade names statutes and the courts. These rules do not
preclude Department intervention or enforcement action should there be
evidence of a significant potential for, or of actual, public confusion.
Sec.215.3 Use of name.
In holding out to the public and in performing air transportation
services, a direct air carrier or foreign direct air carrier subject to
this part shall use only the name in which its operating
[[Page 42]]
authorization is issued or trade name is registered, and shall not
operate or hold out to the public in a name not acknowledged by the
Department to be so registered. Minor variations in the use of this
name, including abbreviations, contractions, initial letters, or other
variations of the name that are identifiable with the authorized name,
are permitted. Slogans and service marks shall not be considered names
for the purpose of this part, and their use is not restricted.
[53 FR 17923, May 19, 1988, as amended at 70 FR 25768, May 16, 2005]
Sec.215.4 Change of name or use of trade name.
(a) Registrations. Any air carrier subject to this part that desires
to change the name in which its operating authorization has been issued,
or to use a trade name, or to obtain initial operating authority must
register the name with the Department. The Department will construe any
application for initial, reissued, or transferred authority as
containing a ``registration'' of the intended name. A separate name
registration document need not be filed. A carrier registering use of a
trade name, without seeking reissuance of its underlying certificate
commuter or foreign air carrier permit or exemption authority, must file
a statement that complies with Sec. Sec.302.3 and 302.4 of this
chapter registering its intended name with the Air Carrier Fitness
Division if it is a U.S. certificated or commuter carrier, or within the
Licensing Division if it is a foreign air carrier.
(b) Montreal Agreement. Each registration under this section shall
be accompanied by three copies of a counterpart to the Montreal
Agreement (Agreement 18900) (OST Form 4523) signed by the carrier using
the proposed name. Upon arrival of the application, the Department will
place a copy of the signed OST form 4523 in Docket 17325.
(Reporting and recordkeeping requirements in paragraph (b) were approved
by the Office of Management and Budget under control number 3024-0064.)
[53 FR 17923, May 19, 1988, as amended at 70 FR 25768, May 16, 2005]
Sec.215.5 Procedure in case of similarity of names.
The Department will compare the proposed name in any registration
filed under this part or in an application for new, reissued, or
transferred authority with a list of names used by existing
certificated, commuter and foreign direct air carriers. The Department
will notify the applicant of any other certificated, foreign or commuter
carriers that may have an identical or similar name. The registrant must
then notify those carriers of its registration. The notification will
identify the applicant and state its proposed name or the name
requested, area of operation or proposed area of operation, type of
business, and other pertinent matters. The registrant must then file a
certificate of service of the notification with the Department.
Sec.215.6 Acknowledgment of registration.
After completion of the filing and notification requirements of this
part, the Department may acknowledge the registration by notice in the
action granting the application for initial operating authority,
transfer, or reissuance or by separate notice in the case of use of a
trade name. Non-action under this provision shall not be construed as an
adjudication of any rights or liabilities.
[53 FR 17923, May 19, 1988, as amended at 70 FR 25768, May 16, 2005]
PART 216_COMMINGLING OF BLIND SECTOR TRAFFIC BY FOREIGN AIR CARRIERS
--Table of Contents
Sec.
216.1 Definitions.
216.2 Applicability.
216.3 Prohibition.
216.4 Special authorizations.
216.5 Existing permits.
216.6 Existing unauthorized operations.
Authority: 49 U.S.C. Chapters 401, 413, 417.
Source: ER-525, 33 FR 692, Jan. 19, 1968, unless otherwise noted.
Sec.216.1 Definitions.
(a) As used in this part, unless the context otherwise requires:
[[Page 43]]
Act means the Federal Aviation Act of 1958, as amended.
Blind sector traffic means revenue traffic, carried by a foreign air
carrier on a flight operating in air transportation, which is enplaned
at one foreign point and deplaned at another foreign point, where at
least one of such points is not named as a terminal or intermediate
point in the carrier's applicable foreign air carrier permit.
Note: This definition shall not be deemed to include the carriage of
authorized beyond homeland traffic (i.e., traffic carried between a
point named in a carrier's foreign air carrier permit and a point beyond
a homeland terminal point authorized under such permit).
Revenue traffic means persons, property or mail carried for
compensation or hire.
(b) Terms defined in section 101 of the Act have the meaning
expressed in such definitions.
Sec.216.2 Applicability.
This part sets forth the requirements applicable to foreign air
carriers for obtaining a Special Authorization from the Board with
respect to any deviation from an authorized foreign air transportation
route for the purpose of commingling blind sector traffic with air
transportation traffic carried pursuant to a foreign air carrier permit
issued by the Board. The deviation by a foreign air carrier from its
authorized route for the purpose of combined carriage to or from the
United States of nonrevenue or other traffic, the carriage of which does
not constitute engaging in foreign air transportation, is governed by
the provisions of part 375 of this chapter.
Sec.216.3 Prohibition.
No foreign air carrier shall carry any blind sector traffic, as
defined in this part, on any flight operating in air transportation
pursuant to the authority of a foreign air carrier permit issued under
section 402 of the Act, unless the combined carriage of such traffic has
been specifically authorized by such permit, or by a Special
Authorization issued under Sec.216.4.
Sec.216.4 Special authorizations.
(a) Applications. Any foreign air carrier may apply to the Board for
a Special Authorization, as required by this part, for the carriage of
blind sector traffic on a particular flight, series of flights, or for a
specified or indefinite period of time between specified points.
Applications shall be submitted directly to the Board, addressed to the
attention of the Director, Bureau of International Aviation. One
original and two copies in conformity with the requirements of
Sec. Sec.302.3(b) and 302.4 (a) and (b) of this chapter shall be
filed. The applications shall contain a proper identification of the
applicant; the flight or flights upon which it is proposed to carry such
blind sector traffic, including routing, nontraffic stops, and dates or
duration of the authority sought; a full description of such traffic,
and points between which such traffic will be carried; information or
documentation as to whether the country of which the applicant is a
national grants reciprocal privileges to U.S. carriers; and the reasons
for requesting such authorization together with such additional
information as will establish that the grant of such authority will
otherwise be in the public interest. Such additional information as may
be specifically requested by the Board shall also be furnished.
(b) Service. Applications shall be served upon each direct U.S. air
carrier certificated to engage in individually ticketed or waybilled
foreign air transportation over any portion of the route to which the
application pertains, and on such other persons as the Board may
require, and proof of such service shall accompany the application as
provided in Sec.302.7 of this chapter. Notice of such applications
shall also be published in the Board's Weekly List of Applications
Filed.
(c) Memoranda in support or opposition. Any interested person may
file a memorandum in support of or in opposition to the grant of an
application. Such memorandum shall set forth in detail the reasons why
it is believed that the application should be granted or denied and
shall be accompanied by such data, including affidavits, which it is
desired that the Board consider. Copies of the memorandum shall be
[[Page 44]]
served upon the applicant. Nothing in this subparagraph shall be deemed
to preclude the Board from granting or denying an application when the
circumstances so warrant without awaiting the filing of memoranda in
support of or in opposition to the application.
(d) Time for filing. (1) Applications seeking authority to engage in
blind sector operations for a period of 3 months or longer, shall be
submitted at least 60 days in advance of the proposed commencement of
such operations. Memoranda in response to such an application shall be
submitted within 15 days after the date of filing thereof.
(2) Applications seeking authority to engage in blind sector
operations for a period less than three months shall be filed at least
20 days in advance of the proposed commencement of such operations, and
memoranda in response thereto within 7 days after the date of filing
thereof: Provided, That the Board may consider late filed applications
upon a showing of good cause for failure to adhere to this requirement.
(e) General procedural requirements. Except as otherwise provided
herein, the provisions of part 302, subpart A, of this chapter shall
apply to the extent applicable.
(f) Issuance of Special Authorization. A Special Authorization
authorizing the carriage of blind sector traffic will be issued only if
the Board finds that the proposed carriage is fully consistent with
applicable law and this part, and that grant of such authority would be
in the public interest. The application may be granted or denied in
whole or in part without hearing, and a Special Authorization made
subject to any conditions or limitations, to the extent that such action
is deemed by the Board to be in the public interest. Special
Authorizations are not transferable.
(g) Nature of the privilege conferred. A Special Authorization
issued pursuant to this section shall constitute a privilege conferred
upon a carrier, which may be enjoyed only to the extent that its
continued exercise remains in the interest of the public. Accordingly,
any Special Authorization issued pursuant to this section may be
revoked, suspended, amended or restricted without hearing.
(Sec. 204(a) of the Federal Aviation Act of 1958, as amended, 72 Stat.
743 (49 U.S.C. 1324); Reorganization Plan No. 3 of 1961, 75 Stat. 837,
26 FR 5989 (49 U.S.C. 1324 (note)))
[ER-525, 33 FR 692, Jan. 19, 1968, as amended by ER-910, 40 FR 23844,
June 3, 1975; ER-1060, 43 FR 34117, Aug. 3, 1978; 65 FR 6456, Feb. 9,
2000]
Sec.216.5 Existing permits.
``Foreign aircraft permits'' issued by the Board under the
provisions of part 375 of the Board's Special Regulations, authorizing
the combined carriage of blind sector traffic as defined in this part,
shall continue in effect in accordance with their terms until their
expiration date unless sooner terminated, revoked or modified by the
Board. Such permits shall, upon the effective date of this part, be
deemed to constitute a Special Authorization issued pursuant to Sec.
216.4.
Sec.216.6 Existing unauthorized operations.
Notwithstanding the provisions of Sec.216.3, if within 30 days
after the effective date of this part a carrier files an application for
a Special Authorization to continue to perform existing blind sector
operations which have been regularly performed by such carrier
commencing on a date prior to August 9, 1967, such carrier may continue
to engage in such blind sector operations until final decision by the
Board on such application: Provided, That any such application shall, in
addition to the requirements of Sec.216.4(a), contain a statement that
the carrier is relying upon this section for continuance of preexisting
blind sector operations, and shall fully describe such operations
including the date inaugurated, and the frequency and continuity of
performance.
PART 217_REPORTING TRAFFIC STATISTICS BY FOREIGN AIR CARRIERS IN
CIVILIAN SCHEDULED, CHARTER, AND NONSCHEDULED SERVICES
--Table of Contents
Sec.
217.1 Definitions.
217.2 Applicability.
[[Page 45]]
217.3 Reporting requirements.
217.4 Data collected (service classes).
217.5 Data collected (data elements).
217.6 Extension of filing time.
217.7 Certification.
217.8 Reporting procedures.
217.9 Waivers from reporting requirements.
217.10 Instructions.
217.11 Reporting compliance.
Authority: 49 U.S.C. 329 and chapters 41102, 41301, 41708, and
41709.
Source: 53 FR 46294, Nov. 16, 1988, unless otherwise noted.
Sec.217.1 Definitions.
As used in this part:
Foreign Air Carrier means a non-U.S. air carrier holding a foreign
air carrier permit or exemption authority from the Department of
Transportation.
Nonrevenue passenger means: a person traveling free or under token
charges, except those expressly named in the definition of revenue
passenger; a person traveling at a fare or discount available only to
employees or authorized persons of air carriers or their agents or only
for travel on the business of the carriers; and an infant who does not
occupy a seat. (This definition is for 14 CFR part 217 traffic reporting
purposes and may differ from the definitions used in other parts by the
Federal Aviation Administration and the Transportation Security
Administration for the collection of Passenger Facility Charges and
Security Fees.)
The definition includes, but is not limited to the following
examples of passengers when traveling free or pursuant to token charges:
(1) Directors, officers, employees, and others authorized by the air
carrier operating the aircraft;
(2) Directors, officers, employees, and others authorized by the air
carrier or another carrier traveling pursuant to a pass interchange
agreement;
(3) Travel agents being transported for the purpose of familiarizing
themselves with the carrier's services;
(4) Witnesses and attorneys attending any legal investigation in
which such carrier is involved;
(5) Persons injured in aircraft accidents, and physicians, nurses,
and others attending such persons;
(6) Any persons transported with the object of providing relief in
cases of general epidemic, natural disaster, or other catastrophe;
(7) Any law enforcement official, including any person who has the
duty of guarding government officials who are traveling on official
business or traveling to or from such duty;
(8) Guests of an air carrier on an inaugural flight or delivery
flights of newly-acquired or renovated aircraft;
(9) Security guards who have been assigned the duty to guard such
aircraft against unlawful seizure, sabotage, or other unlawful
interference;
(10) Safety inspectors of the National Transportation Safety Board
or the FAA in their official duties or traveling to or from such duty;
(11) Postal employees on duty in charge of the mails or traveling to
or from such duty;
(12) Technical representatives of companies that have been engaged
in the manufacture, development or testing of a particular type of
aircraft or aircraft equipment, when the transportation is provided for
the purpose of in-flight observation and subject to applicable FAA
regulations;
(13) Persons engaged in promoting air transportation;
(14) Air marshals and other Transportation Security officials acting
in their official capacities and while traveling to and from their
official duties; and
(15) Other authorized persons, when such transportation is
undertaken for promotional purpose.
Reporting carrier for T-100(f) purposes means the air carrier in
operational control of the flight, i.e., the carrier that uses its
flight crews under its own operating authority.
Revenue passenger means: a passenger for whose transportation an air
carrier receives commercial remuneration. (This definition is for 14 CFR
part 217 traffic reporting purposes and may differ from the definitions
used in other parts by the Federal Aviation Administration and the
Transportation Security Administration for the collection of Passenger
Facility Charges and Security Fees.) This includes, but is not limited
to, the following examples:
(1) Passengers traveling under publicly available tickets including
promotional offers (for example two-for-
[[Page 46]]
one) or loyalty programs (for example, redemption of frequent flyer
points);
(2) Passengers traveling on vouchers or tickets issued as
compensation for denied boarding or in response to consumer complaints
or claims;
(3) Passengers traveling at corporate discounts;
(4) Passengers traveling on preferential fares (Government, seamen,
military, youth, student, etc.);
(5) Passengers traveling on barter tickets; and
(6) Infants traveling on confirmed-space tickets.
Statement of Authorization under this part means a statement of
authorization from the Department, pursuant to 14 CFR part 207, 208, or
212, as appropriate, that permits joint service transportation, such as
blocked space agreements, part-charters, code-sharing or wet-leases,
between two direct air carriers holding underlying economic authority
from the Department.
Wet-Lease Agreement means an agreement under which one carrier
leases an aircraft with flight crew to another air carrier.
[53 FR 46294, Nov. 16, 1988, as amended at 67 FR 49223, July 30, 2002;
67 FR 58689, Sept. 18, 2002]
Sec.217.2 Applicability.
This part applies to foreign air carriers that are authorized by the
Department to provide civilian passenger and/or cargo service to or from
the United States, whether performed pursuant to a permit or exemption
authority.
[Doc. No. OST 98-4043, 67 FR 49223, July 30, 2002]
Sec.217.3 Reporting requirements.
(a) Each foreign air carrier shall file BTS Form 41 Schedule T-
100(f) ``Foreign Air Carrier Traffic Data by Nonstop Segment and On-
flight Market.'' All traffic statistics shall be compiled in terms of
each flight stage as actually performed.
(b) The traffic statistics reported on Schedule T-100(f) shall be
accumulated in accordance with the data elements prescribed in Sec.
217.5 of this part, and these data elements are patterned after those in
section 19-5 of part 241 of this chapter.
(c) One set of Form 41 Schedule T-100(f) data shall be filed.
(d) Schedule T-100(f) shall be submitted to the Department within
thirty (30) days following the end of each reporting month.
(e) Reports required by this section shall be submitted to the
Bureau of Transportation Statistics in a format specified in accounting
and reporting directives issued by the Bureau of Transportation
Statistics' Director of Airline Information.
[53 FR 46294, Nov. 16, 1988, as amended at 60 FR 66722, Dec. 26, 1995;
75 FR 41583, July 16, 2010]
Sec.217.4 Data collected (service classes).
(a) The statistical classifications are designed to reflect the
operating elements attributable to each distinctive class of service
offered for scheduled, nonscheduled and charter service.
(b) The service classes that foreign air carriers shall report on
Schedule T-100(f) are:
(1) F Scheduled Passenger/Cargo
(2) G Scheduled All-Cargo
(3) L Nonscheduled Civilian Passenger/Cargo Charter
(4) P Nonscheduled Civilian All-Cargo Charter
(5) Q Nonscheduled Services (Other than Charter). This service class
is reserved for special nonscheduled cargo flights provided by a few
foreign air carriers under special authority granted by the Department.
Sec.217.5 Data collected (data elements).
(a) Within each of the service classifications prescribed in Sec.
217.4, data shall be reported in applicable traffic elements.
(b) The statistical data to be reported on Schedule T-100(f) are:
(1) Air carrier. The name and code of the air carrier reporting the
data. The carrier code is assigned by DOT. The Office of Airline
Information (OAI'S) will confirm the assigned code upon request; OAI's
address is in the appendix to Sec.217.10 of this part.
(2) Reporting period date. The year and month to which the reported
data are applicable.
(3) Origin airport code. This code represents the industry
designator as described in the appendix to Sec.217.10 of
[[Page 47]]
this part. A common private industry source of these industry designator
codes is the Official Airline Guides (OAG). Where none exists, OAI will
furnish a code upon request. OAI's address is in the appendix to Sec.
217.10 of this part.
(4) Destination airport code. This represents the industry
designator, from the source described in Sec.217.5(b)(3).
(5) Service class code. For scheduled and other services, the
applicable service class prescribed in Sec.217.4 of this part shall be
reported.
(6) Aircraft type code. This code represents the aircraft type, as
specified in the appendix to Sec.217.10 of this part. Where none
exists, OAI will furnish a code upon request.
(7) Revenue aircraft departures performed (Code 510). The number of
revenue aircraft departures performed.
(8) Revenue passengers transported (Code 130). The total number of
revenue passengers on board over a flight stage, including those already
on the aircraft from previous flight stages. Includes both local and
through passengers on board the aircraft.
(9) Revenue freight transported (kilograms) (Code 237). The volume,
expressed in kilograms, of revenue freight that is transported. As used
in this part, ``Freight'' means revenue cargo other than passengers or
mail.
(10) Total revenue passengers in market (Code 110). The total number
of revenue passengers enplaned in a market, boarding the aircraft for
the first time. While passengers may be transported over several flight
stages in a multi-segment market, this data element (code 110) is an
unduplicated count of passengers originating within the market.
(11) Total revenue freight in market (kilograms) (Code 217). The
amount of revenue freight cargo (kilograms) that is enplaned in a
market, loaded on the aircraft for the first time.
(12) Available capacity-payload (Code 270). The available capacity
is collected in kilograms. This figure shall reflect the available load
(see load, available in 14 CFR part 241 Section 03) or total available
capacity for passengers, mail and freight applicable to the aircraft
with which each flight stage is performed.
(13) Available seats (Code 310). The number of seats available for
sale. This figure reflects the actual number of seats available,
excluding those blocked for safety or operational reasons. Report the
total available seats in item 310.
[53 FR 46294, Nov. 16, 1988 and 53 FR 52404, Dec. 28, 1988, as amended
at 54 FR 7183, Feb. 17, 1989; 60 FR 66722, Dec. 26, 1995; 62 FR 6718,
Feb. 13, 1997]
Sec.217.6 Extension of filing time.
(a) If circumstances prevent the filing of a Schedule T-100(f)
report on or before the due date prescribed in section 22 of part 241 of
this chapter and the appendix to Sec.217.10 of this part, a request
for an extension must be filed with the Director, Office of Airline
Information.
(b) The extension request must be received at the address provided
in Sec.217.10 at least 3 days in advance of the due date, and must set
forth reasons to justify granting an extension, and the date when the
report can be filed. If a request is denied, the air carrier must submit
the required report within 5 days of its receipt of the denial of
extension.
[53 FR 46294, Nov. 16, 1988, as amended at 60 FR 66722, Dec. 26, 1995]
Sec.217.7 Certification.
The certification for BTS Form 41 Schedule T-100(f) shall be signed
by an officer of the air carrier with the requisite authority over the
collection of data and preparation of reports to ensure the validity and
accuracy of the reported data.
[53 FR 46294, Nov. 16, 1988, as amended at 60 FR 66722, Dec. 26, 1995]
Sec.217.8 Reporting procedures.
Reporting guidelines and procedures for Schedule T-100(f) are
prescribed in the Appendix to Sec.217.10 of this part.
Sec.217.9 Waivers from reporting requirements.
(a) A waiver from any reporting requirement contained in Schedule T-
100(f) may be granted by the Department upon its own initiative, or upon
the submission of a written request of the air carrier to the Director,
Office of
[[Page 48]]
Airline Information, when such a waiver is in the public interest.
(b) Each request for waiver must demonstrate that: Existing
peculiarities or unusual circumstances warrant a departure from the
prescribed procedure or technique; a specifically defined alternative
procedure or technique will result in substantially equivalent or more
accurate portrayal of the operations reported; and the application of
such alternative procedure will not adversely affect the uniformity in
reporting applicable to all air carriers.
[53 FR 46294, Nov. 16, 1988, as amended at 60 FR 66722, Dec. 26, 1995]
Sec.217.10 Instructions.
(a) Reports required by this section shall be submitted to the
Bureau of Transportation Statistics in a format specified in accounting
and reporting directives issued by the Bureau of Transportation
Statistics' Director of Airline Information.
(b) The detailed instructions for preparing Schedule T-100(f) are
contained in the appendix to this section.
Appendix to Section 217.10 of 14 CFR Part 217--Instructions to Foreign
Air Carriers for Reporting Traffic Data on Form 41 Schedule T-100(f)
(a) General instructions.
(1) Description. Form 41 Schedule T-100(f) provides flight stage
data covering both passenger/cargo and all cargo operations in scheduled
and nonscheduled services. The schedule is used to report all flights
which serve points in the United States or its territories as defined in
this part.
(2) Applicability. Each foreign air carrier holding a Sec.41302
permit or exemption authority shall file Schedule T-100(f).
(3) Reports required by this section shall be submitted to the
Bureau of Transportation Statistics in a format specified in accounting
and reporting directives issued by the Bureau of Transportation
Statistics' Director of Airline Information.
(4) Filing period. Form 41 Schedule T-100(f) shall be filed monthly
and is due at the Department thirty (30) days following the end of the
reporting month to which the data are applicable.
(5) Number of copies. A single set of legible Form 41 Schedule T-
100(f) data and certification shall be submitted.
(6) Foreign air carrier certification. Each foreign air carrier
shall submit a certification statement (illustrated at the end of this
Appendix) as an integral part of each monthly Schedule T-100(f), as
prescribed in Sec.217.5 of this part.
(7) [Reserved]
(b) Preparation of Form 41 Schedule T-100(f):
(1) Explanation of nonstop segments and on-flight markets. There are
two basic categories of data, one pertaining to nonstop segments and the
other pertaining to on-flight markets. For example, the routing (A-B-C-
D) consists of three nonstop segment records A-B, B-C, and C-D, and six
on-flight market records A-B, A-C, A-D, B-C, B-D, and C-D.
(2) Guidelines for reporting a nonstop segment. A nonstop segment is
reported when one or both points are in the United States or its
territories. These data shall be merged with that for all of the other
reportable nonstop operations over the same segment. Nonstop segment
data must be summarized by aircraft type, under paragraph (h)(1), and
class of service, paragraph (g)(1)(v).
(3) Rules for determining a reportable on-flight market. On-flight
markets are reportable when one or both points are within the U.S., with
the following exceptions: (i) Do not report third country to U.S.
markets resulting from flight itineraries which serve a third country
prior to a homeland point in flights passing through the homeland bound
for the U.S.; and (ii) do not report U.S. to third country markets
resulting from itineraries serving third country points subsequent to a
homeland point in flights outbound from the U.S. and passing through the
homeland. In reporting data pertaining to these two exceptions, the
traffic moving to or from the U.S. relating to the applicable prior or
subsequent third countries (referred to as ``behind'' or ``beyond''
traffic) is to be combined with the applicable foreign homeland gateway
point, just as though the traffic were actually enplaned or deplaned at
the homeland gateway, without disclosure of the actual prior or
subsequent points. Applicable flights are illustrated in examples (6)
and (7) under paragraph (c).
(c) Examples of flights. Following are some typical flight
itineraries that show the reportable nonstop segment and on-flight
market entries. The carrier's homeland is the key factor in determining
which on-flight markets are reportable.
(1) SQ flight 11 LAX--NRT--SIN. This is an example of a
flight with an intermediate foreign country. It is not necessary to
report anything on the NRT--SIN leg.
SQ--Singapore Airlines
LAX--Los Angeles, USA
NRT--Tokyo-Narita, Japan
SIN--Singapore, Singapore
[[Page 49]]
--------------------------------------------------------------------------------------------------------------------------------------------------------
A-3--Airport code A-4--Airport A-5--Service class By aircraft type-- Sum of all aircraft
-------------------------------------- code (mark an X) --------------------------------------------------------- types--
---------------------------------- -----------------------
B-4--Revenue C-2--Total
B-1--Aircraft B-2--Revenue B-3--Revenue freight C-1-Total revenue
Origin Destination F G L P Q type code aircraft passengers transported revenue freight in
departures transported (kg) passengers market
in market (kg)
--------------------------------------------------------------------------------------------------------------------------------------------------------
LAX.................................. NRT X .. .. .. .. 8161 12 2400 4800 400 500
LAX.................................. SIN X .. .. .. .. ............. ............ ............ ............ 2000 4300
--------------------------------------------------------------------------------------------------------------------------------------------------------
(2) SQ flight 15 LAX--HNL--TPE--SIN. This is an example of
two U.S. points, an intermediate third country, and a homeland point.
Information is reportable on only the on-flight markets and nonstop
segments that consist of one or both U.S. points.
SQ--Singapore Airlines
LAX--Los Angeles, USA
HNL--Honolulu, USA
TPE--Taipei, Taiwan
SIN--Singapore, Singapore
--------------------------------------------------------------------------------------------------------------------------------------------------------
A-3--Airport code A-4--Airport A-5--Service class By aircraft type-- Sum of all aircraft
----------------------------------------- code (Mark an x) ------------------------------------------------------ types--
---------------------------------- -----------------------
B-4--Revenue C-2--Total
B-1--Acft. B-2--Revenue B-3--Revenue freight C-1--Total revenue
Origin Destin ation F G L P Q type code aircraft passengers transported revenue freight in
departures transported (kg) passengers market
in market (kg)
--------------------------------------------------------------------------------------------------------------------------------------------------------
LAX..................................... HNL X .. .. .. .. 8161 12 2700 5300 0 0
LAX..................................... TPE X .. .. .. .. .......... ............ ............ ............ 700 1300
LAX..................................... SIN X .. .. .. .. .......... ............ ............ ............ 2000 4000
HNL..................................... TPE X .. .. .. .. 8161 12 2200 6800 1200 800
HNL..................................... SIN X .. .. .. .. .......... ............ ............ ............ 1000 6000
--------------------------------------------------------------------------------------------------------------------------------------------------------
(3) LB flight 902 LPB-VVI-MAO-CCS-MIA. This flight serves
two homeland points and two different foreign countries before
terminating in the U.S. Nonstop segment information is required only for
the nonstop segment involving a U.S. point. On-flight market information
is required in 4 of the 10 markets, LPB-MIA and VVI-MIA, since these
involve homeland and U.S. points; MAO-MIA is necessary to show traffic
carried into the U.S., and CCS-MIA for the same reason, and also because
in all cases where a nonstop segment entry is required, a corresponding
on-flight market entry must also be reported.
LB--Lloyd Aero Boliviano
LPB--La Paz, Bolivia
VVI--Santa Cruz-Viru Viru, Bolivia
MAO--Manaus, Brazil
CCS--Caracas, Venezuela
MIA--Miami, USA
--------------------------------------------------------------------------------------------------------------------------------------------------------
A-3--Airport code A-4--Airport A-5--Service class By aircraft type-- Sum of all aircraft
----------------------------------------- code (mark an x) ------------------------------------------------------ types--
---------------------------------- -----------------------
B-4--Revenue C-2--Total
B-1--Acft. B-2--Revenue B-3--Revenue freight C-1--Total revenue
Origin Destination F G L P Q type code aircraft passengers transported revenue freight in
departures transported (kg) passengers market
in market (kg)
--------------------------------------------------------------------------------------------------------------------------------------------------------
CCS..................................... MIA X .. .. .. .. 8161 31 6900 71000 0 0
LPB..................................... MIA X .. .. .. .. .......... ............ ............ ............ 1100 20000
VVI..................................... MIA X .. .. .. .. .......... ............ ............ ............ 4000 30000
MAO..................................... MIA X .. .. .. .. .......... ............ ............ ............ 1000 12000
--------------------------------------------------------------------------------------------------------------------------------------------------------
(4) LY flight 005 TLV-AMS-ORD-LAX. This flight serves a
single foreign intermediate point and two U.S. points after its homeland
origination. The information on the TLV-AMS leg is not reportable.
LY--El Al Israel Airlines
TLV--Tel Aviv, Israel
[[Page 50]]
AMS--Amsterdam, Netherlands
ORD--Chicago, USA
LAX--Los Angeles, USA
--------------------------------------------------------------------------------------------------------------------------------------------------------
A-3--Airport code A-4--Airport A-5--Service class By aircraft type-- Sum of all aircraft
----------------------------------------- code (mark an x) ------------------------------------------------------ types--
---------------------------------- -----------------------
B-4--Revenue C-2--Total
B-1--Acft. B-2--Revenue B-3--Revenue freight C-1--Total revenue
Origin Destination F G L P Q type code aircraft passengers transported revenue freight in
departures transported (kg) passengers market
in market (kg)
--------------------------------------------------------------------------------------------------------------------------------------------------------
AMS..................................... ORD X .. .. .. .. 8161 1 350 10000 50 1500
TLV..................................... ORD X .. .. .. .. .......... ............ ............ ............ 150 4000
TLV..................................... LAX X .. .. .. .. .......... ............ ............ ............ 125 3000
ORD..................................... LAX X .. .. .. .. 8161 1 150 4500 0 0
AMS..................................... LAX X .. .. .. .. .......... ............ ............ ............ 25 1500
--------------------------------------------------------------------------------------------------------------------------------------------------------
(5) QF flight 25 SYD--BNE--CNS--HNL--YVR. This flight
serves three homeland points, a U.S. point, and a subsequent third
country. Nonstop segment information is required on the respective legs
into and out of the United States. All on-flight market entries
involving the U.S. point HNL are also required. Data are not required on
the homeland to homeland markets, or the homeland--third country
markets.
QF--Qantas Airways (Australia)
SYD--Sydney, Australia
BNE--Brisbane, Australia
CNS--Cairns, Australia
HNL--Honolulu, USA
YVR--Vancouver, Canada
--------------------------------------------------------------------------------------------------------------------------------------------------------
A-3--Airport code A-4--Airport A-5--Service class By aircraft type Sum of all aircraft
----------------------------------------- code (mark an x) ------------------------------------------------------ types
---------------------------------- -----------------------
B-4--Revenue C-2--Total
B-1--Acft. B-2--Revenue B-3--Revenue freight C-1--Total revenue
Origin Destination F G L P Q type code aircraft freight transported revenue freight in
departures transported (kg) passengers market
in market (kg)
--------------------------------------------------------------------------------------------------------------------------------------------------------
CNS..................................... HNL X 8161 5 2200 41000 400 8000
SYD..................................... HNL X .......... ............ ............ ............ 600 10000
BNE..................................... HNL X .......... ............ ............ ............ 600 9000
HNL..................................... YVR X 8161 5 750 15700 150 1700
--------------------------------------------------------------------------------------------------------------------------------------------------------
(6) JL flight 002 HKG--NRT--SFO. This flight originates in
a third country prior to the homeland. No data is required on the HKG-
NRT leg, but the HKG-SFO passengers and cargo shall be shown as
enplanements in the NRT-SFO on-flight market entry. These volumes are
included by definition in the passenger and cargo transported volumes of
the NRT-SFO nonstop segment entry.
JL--Japan Air Lines
HKG--Hong Kong, Hong Kong
NRT--Tokyo-Narita, Japan
SFO--San Francisco, USA
--------------------------------------------------------------------------------------------------------------------------------------------------------
A-3--Airport code A-4--Airport A-5--Service class By aircraft type Sum of all aircraft
----------------------------------------- code (mark an x) ------------------------------------------------------ types
---------------------------------- -----------------------
B-4--Revenue C-2--Total
B-1--Acft. B-2--Revenue B-3--Revenue freight C-1--Total revenue
Origin Destination F G L P Q type code aircraft passengers transported revenue freight in
departures transported (kg) passengers market
in market (kg)
--------------------------------------------------------------------------------------------------------------------------------------------------------
NRT..................................... SFO X 8161 3 1200 18000 1200 18000
--------------------------------------------------------------------------------------------------------------------------------------------------------
(7) JL flight 001 SFO-NRT-HKG. This flight is the reverse
sequence of flight 002 above; it requires a nonstop segment
entry covering SFO-NRT, and a single on-flight market entry also for
SFO-NRT. In this case, the on flight traffic enplaned at SFO and
destined for HKG, a beyond homeland point,
[[Page 51]]
shall be included in the SFO-NRT entry; a separate SFO-HKG entry is not
required.
JL--Japan Air Lines
SFO--San Francisco, USA
NRT--Tokyo-Narita, Japan
HKG--Hong Kong, Hong Kong
--------------------------------------------------------------------------------------------------------------------------------------------------------
A-3--Airport code A-4--Airport A-5--Service class By aircraft type Sum of all aircraft
----------------------------------------- code (mark an x) ------------------------------------------------------ types
---------------------------------- -----------------------
B-4--Revenue C-2--Total
B-1--Acft. B-2--Revenue B-3--Revenue freight C-1--Total revenue
Origin Destination F G L P Q type code aircraft passengers transported revenue freight in
departures transported (kg) passengers market
in market (kg)
--------------------------------------------------------------------------------------------------------------------------------------------------------
SFO..................................... NRT X 8161 1 400 20000 400 20000
--------------------------------------------------------------------------------------------------------------------------------------------------------
(8) BA flight 5 LHR-ANC-NRT-OSA. This example contains a
single homeland point and a single U.S. point followed by two third
country points. It is necessary to report the nonstop segments into and
out of the U.S., and all three of the on-flight markets which have the
U.S. point ANC as either an origin or destination.
BA--British Airways
LHR--London, England
ANC--Anchorage, USA
NRT--Tokyo-Narita, Japan
OSA--Osaka, Japan
--------------------------------------------------------------------------------------------------------------------------------------------------------
A-3--Airport code A-4--Airport A-5--Service class By aircraft type Sum of all aircraft types
----------------------------------------- code (mark an x) -----------------------------------------------------------------------------
---------------------------------- C-2--Total
B-2--Revenue B-3--Revenue B-4--Revenue C-1--Total revenue
Origin B-1--Acft. aircraft passengers freight revenue freight in
Destination F G L P Q type code departures transported transported passengers market
(kg) in market (kg)
--------------------------------------------------------------------------------------------------------------------------------------------------------
LHR..................................... ANC X 8161 10 3000 50000 100 1000
ANC..................................... NRT X 8161 10 3150 55000 100 2500
ANC..................................... OSA X .......... ............ ............ ............ 150 1500
--------------------------------------------------------------------------------------------------------------------------------------------------------
(d) Provisions to reduce paperwork:
(1) Nonstop Segment Entries. The flight stage data applicable to
nonstop segment entries must be summarized to create totals by aircraft
equipment type, within service class, within pairs-of-points.
(2) On-flight Market Entries. The applicable on-flight market
entries shall be summarized to create totals by service class within
pair-of-points.
(e) Preparation of Schedule T-100 (f):
(1) Section A--Indicative and flight pattern information. A copy of
Schedule T-100(f) is shown at the end of this Appendix. Section A
defines the origin and destination points and the service class code to
which the nonstop segment data in Section B and the on-flight market
data in Section C are applicable. Section A information, along with the
carrier code and report date, must be included on each schedule.
(2) Section B--Nonstop segment information. Section B of the
schedule is used for reporting nonstop segment information by aircraft
type. To reduce the number of schedules reported, space is provided for
including data on multiple different aircraft types. Similarly, the on-
flight market section has been included on a single Schedule T-100(f),
along with the nonstop segment data, rather than on a separate schedule.
(3) Section C--On-flight market information. Section C of the
schedule is used for reporting on-flight market data. There will always
be an on-flight market that corresponds to the nonstop segment. Because
the on-flight market data are reported at the service class level rather
than by aircraft type, a specific flight may produce more on-flight
markets than nonstop segments, (see examples in paragraph (c) of this
Appendix), resulting in data reported in sections A and C only.
(f) [Reserved]
(g) Data element definitions:
(1) Service pattern information.
(i) Line A-1 Carrier code. Use the carrier code established by the
Department. This code is provided to each carrier in the initial
reporting letter from the Office of Airline Information (OAI). If there
are any questions about these codes, contact the OAI Data Administration
Division at the address in paragraph (a)(3) of this Appendix.
(ii) Line A-2 Report date. This is the year and month to which the
data are applicable. For example, 200009 indicates the year 2000, and
the month of September.
[[Page 52]]
(iii) Line A-3 Origin airport code. This is the departure airport,
where an aircraft begins a flight segment, and where the passengers
originate in an on-flight market. Use the 3-letter code from the City/
Airport Codes section of the Official Airline Guide Worldwide Edition.
If no 3-letter code is available, OAI will assign one; the address is in
paragraph (a)(3) of this Appendix.
(iv) Line A-4 Destination airport code. This is the arrival airport,
where an aircraft stops on a flight segment, and where passengers
deplane (get off the flight) after reaching their destination in a
market. Use the 3-letter code from the source described in paragraph
(g)(1)(iii) of this Appendix.
(v) Line A-5 Service class code. Select one of the following single
letter codes which describes the type of service being reported on a
given flight operation.
F = Scheduled Passenger/cargo Service
G = Scheduled All-cargo Service
L = Nonscheduled Civilian Passenger/Cargo Charter
P = Nonscheduled Civilian All-Cargo Charter
Q = Nonscheduled Services (Other than Charter)
(2) Nonstop segment information:
(i) Line B-1 Aircraft type code. Use the four digit numeric code
prescribed in paragraph (h)(1) of this Appendix. If no aircraft type
code is available, OAI will assign one. The address is in paragraph
(a)(3) of this Appendix.
(ii) Line B-2 Aircraft departures performed. This is the total
number of physical departures performed with a given aircraft type,
within service class and pair-of-points.
(iii) Line B-3 Revenue passengers transported. This is the total
number of revenue passengers transported on a given nonstop segment. It
represents the total number of revenue passengers on board over the
segment without regard to their actual point of enplanement.
(iv) Line B-4 Revenue freight transported. This item is the total
weight in kilograms (kg) of the revenue freight transported on a given
nonstop segment without regard to its actual point of enplanement.
(3) On-flight market information:
(i) Line C-1 Total revenue passengers in market. This item
represents the total number of revenue passengers, within service class,
that were enplaned at the origin airport and deplaned at the destination
airport.
(ii) Line C-2 Total revenue freight in market. This item represents
the total weight in kilograms (kg) of revenue freight enplaned at the
origin and deplaned at the destination airport.
(h) [Reserved]
(i) Joint Service.
(1) The Department may authorize joint service operations between
two direct air carriers. Examples of these joint service operations are:
Blocked-space agreements;
Part-charter agreements;
Code-sharing agreements;
Wet-lease agreements, and similar arrangements.
(2) Joint-service operations shall be reported on BTS Form 41
Schedules T-100 and T-100(f) by the air carrier in operational control
of the flight, i.e., the air carrier that uses its flight crew to
perform the operation. If there are questions about reporting a joint-
service operation, contact the BTS Assistant Director--Airline
Information at the address in paragraph (a)(3) of this appendix.
(j) [Reserved]
[53 FR 46294, Nov. 16, 1988, as amended at 54 FR 7183, Feb. 17, 1989; 60
FR 66722, Dec. 26, 1995; 67 FR 49223, July 30, 2002; 75 FR 41583, July
16, 2010]
Sec.217.11 Reporting compliance.
(a) Failure to file reports required by this part will subject an
air carrier to civil penalties prescribed in Title 49 United States Code
section 46301.
(b) Title 18 U.S.C. 1001, Crimes and Criminal Procedure, makes it a
criminal offense subject to a maximum fine of $10,000 or imprisonment
for not more than 5 years, or both, to knowingly and willfully make, or
cause to be made, any false or fraudulent statements or representations
in any matter within the jurisdiction of any agency of the United
States.
[53 FR 46294, Nov. 16, 1988, as amended at 67 FR 49223, July 30, 2002]
PART 218_LEASE BY FOREIGN AIR CARRIER OR OTHER FOREIGN PERSON OF
AIRCRAFT WITH CREW--Table of Contents
Sec.
218.1 Definitions.
218.2 Applicability.
218.3 Prohibition against unauthorized operations employing aircraft
leased with crew.
218.4 Condition upon authority of lessee.
218.5 Application for disclaimer of jurisdiction.
218.6 Issuance of order disclaiming jurisdiction.
218.7 Presumption.
Authority: Secs. 204(a), 402, Pub. L. 85-726, as amended, 72 Stat.
743, 757 (49 U.S.C. 1324, 1372).
[[Page 53]]
Source: ER-716, 36 FR 23148, Dec. 4, 1971, unless otherwise noted.
Sec.218.1 Definitions.
For the purpose of this part the term lease shall mean an agreement
under which an aircraft is furnished by one party to the agreement to
the other party, irrespective of whether the agreement constitutes a
true lease, charter arrangement, or some other arrangement.
Sec.218.2 Applicability.
This part applies to foreign air carriers and other persons not
citizens of the United States which, as lessors or lessees, enter into
agreements providing for the lease of aircraft with crew to a foreign
air carrier for use in foreign air transportation. For purposes of
section 402 of the Act, the person who has operational control and
safety responsibility is deemed to be the carrier, and is required to
have appropriate operating authority.
[ER-716, 36 FR 23148, Dec. 4, 1971, as amended by ER-1250, 46 FR 47770,
Sept. 30, 1981]
Sec.218.3 Prohibition against unauthorized operations employing
aircraft leased with crew.
(a) No foreign air carrier, or other person not a citizen of the
United States, shall lease an aircraft with crew to a foreign air
carrier for use by the latter in performing foreign air transportation
unless either:
(1) The lessor holds a foreign air carrier permit issued under
section 402 of the Act or an approved registration issued under part 294
of this chapter, and any statement of authorization required by part 212
of this chapter; or
(2) The Board has issued an exemption under section 416 of the Act
specifically authorizing the lessor to engage in the foreign air
transportation to be performed under the lease; or
(3) The Board has issued an order under Sec.218.6 disclaiming
jurisdiction over the matter.
(b) For purposes of this part, an aircraft shall be considered to be
leased with crew if:
(1) The pilot in command or a majority of the crew of the aircraft,
other than cabin attendants:
(i) Is to be furnished by the lessor;
(ii) Is employed by the lessor;
(iii) Continues in the employ of the lessor in the operation of
services other than those provided for in the agreement between the
parties; or
(iv) Has been employed by the lessor prior to the lease, and the
employment of whom by the lessee is coextensive with the period or
periods for which the aircraft is available to the lessee under the
lease; or
(2) The aircraft is operated under operations specifications issued
to the lessor by the Federal Aviation Administration.
[ER-716, 36 FR 23148, Dec. 4, 1971, as amended by ER-1250, 46 FR 47770,
Sept. 30, 1981; ER-1260, 46 FR 52598, Oct. 27, 1981]
Sec.218.4 Condition upon authority of lessee.
In any case where a foreign air carrier leases from another foreign
air carrier or other person not a citizen of the United States an
aircraft with crew for use in performing foreign air transportation, it
shall be a condition upon the authority of the lessee to perform such
foreign air transportation that compliance be achieved with the
requirements of this part.
Sec.218.5 Application for disclaimer of jurisdiction.
The parties to a lease with crew as described in Sec.218.3(b) may
apply to the Board for an order disclaiming jurisdiction over the
matter. The application shall be filed jointly by both parties to the
lease, and shall generally conform to the procedural requirements of
part 302, subpart A, of this chapter. It shall be served upon any air
carrier providing services over all or any part of the route upon which
air transportation services will be provided pursuant to the agreement.
The application should set forth in detail all evidence and other
factors relied upon to demonstrate that true operational control and
safety responsibility for the air transportation services to be provided
are in the hands of the lessee rather than the lessor. A copy of the
agreement and all amendments thereof, as well as a summary
interpretation of its pertinent provisions, shall be included with the
applications. Any interested
[[Page 54]]
person may file an answer to the application within 7 days after service
hereof. Until the Board has acted upon the application, no operations in
foreign transportation shall be performed pursuant to the agreement.
Sec.218.6 Issuance of order disclaiming jurisdiction.
If the Board finds that true operational control and safety
responsibility will be vested in the lessee and not in the lessor (i.e.,
that the lease transaction is in substance a true lease of aircraft
rather than a charter or series of charters), and that the performance
of the operations provided for in such lease will not result in the
lessor's being engaged in foreign air transportation, it will issue an
order disclaiming jurisdiction over the matter. Otherwise the
application for disclaimer of jurisdiction will be denied.
Sec.218.7 Presumption.
Whether under a particular lease agreement the lessor of the
aircraft is engaged in foreign air transportation is a question of fact
to be determined in the light of all the facts and circumstances.
However, in circumstances where the lessor furnishes both the aircraft
and the crew, there is a presumption that true operational control and
safety responsibility are exercised by the lessor, and that the
agreement constitutes a charter arrangement under which the lessor is
engaged in foreign air transportation. The burden shall rest upon the
applicants for disclaimer of jurisdiction in each instance to
demonstrate by an appropriate factual showing that the operation
contemplated will not constitute foreign air transportation by the
lessor.
PART 221_TARIFFS--Table of Contents
Subpart A_General
Sec.
221.1 Applicability of this part.
221.2 Carrier's duty.
221.3 Definitions.
221.4 English language.
221.5 Unauthorized air transportation.
Subpart B_Who Is Authorized To Issue and File Tariffs
221.10 Carrier.
221.11 Agent.
Subpart C_Specifications of Tariff Publications
221.20 Specifications applicable to tariff publications.
Subpart D_Manner of Filing Tariffs
221.30 Passenger fares and charges.
221.31 Rules and regulations governing passenger fares and services.
Subpart E_Contents of Tariff
221.40 Specific requirements.
221.41 Routing.
Subpart F_Requirements Applicable to all Statements of Fares and Charges
221.50 Currency.
221.51 Territorial application.
221.52 Airport to airport application, accessorial services.
221.53 Proportional fares.
221.54 Fares stated in percentages of other fares; other relationships
prohibited.
221.55 Conflicting or duplicating fares prohibited.
221.56 Applicable fare when no through local or joint fares.
Subpart G_Governing Tariffs
221.60 When reference to governing tariffs permitted.
221.61 Rules and regulations governing foreign air transportation.
221.62 Explosives and other dangerous or restricted articles.
221.63 Other types of governing tariffs.
Subpart H_Amendment of Tariffs
221.70 Who may amend tariffs.
221.71 Requirement of clarity and specificity.
221.72 Reinstating canceled or expired tariff provisions.
Subpart I_Suspension of Tariff Provisions by Department
221.80 Effect of suspension by Department.
221.81 Suspension supplement.
221.82 Reissue of matter continued in effect by suspension to be
canceled upon termination of suspension.
221.83 Tariff must be amended to make suspended matter effective.
221.84 Cancellation of suspended matter subsequent to date to which
suspended.
[[Page 55]]
Subpart J_Filing Tariff Publications With Department
221.90 Required notice.
221.91 Delivering tariff publications to Department.
221.92 Number of copies required.
221.93 Concurrences or powers of attorney not previously filed to
accompany tariff transmittal.
221.94 Explanation and data supporting tariff changes and new matter in
tariffs.
Subpart K_Availability of Tariff Publications for Public Inspection
221.100 Public notice of tariff information.
221.101 Inspection at stations, offices, or locations other than
principal or general office.
221.102 Accessibility of tariffs to the public.
221.103 Notice of tariff terms.
221.105 Special notice of limited liability for death or injury under
the Warsaw Convention.
221.106 Notice of limited liability for baggage; alternative
consolidated notice of liability limitations.
221.107 Notice of contract terms.
221.108 Transmission of tariff filings to subscribers.
Subpart L_Rejection of Tariff Publications
221.110 Department's authority to reject.
221.111 Notification of rejection.
221.112 Rejected tariff is void and must not be used.
Subpart M_Special Tariff Permission to File on Less Than Statutory
Notice
221.120 Grounds for approving or denying Special Tariff Permission
applications.
221.121 How to prepare and file applications for Special Tariff
Permission.
221.122 Special Tariff Permission to be used in its entirety as granted.
221.123 Re-use of Special Tariff Permission when tariff is rejected.
Subpart N_Waiver of Tariff Regulations
221.130 Applications for waiver of tariff regulations.
221.131 Form of application for waivers.
Subpart O_Giving and Revoking Concurrences to Carriers
221.140 Method of giving concurrence.
221.141 Method of revoking concurrence.
221.142 Method of withdrawing portion of authority conferred by
concurrence.
Subpart P_Giving and Revoking Powers of Attorney to Agents
221.150 Method of giving power of attorney.
221.151 Method of revoking power of attorney.
221.152 Method of withdrawing portion of authority conferred by power of
attorney.
Subpart Q_Adoption Publications Required To Show Change in Carrier's
Name or Transfer of Operating Control
221.160 Adoption notice.
221.161 Notice of adoption to be filed in former carrier's tariffs.
221.162 Receiver shall file adoption notices.
221.163 Agents' and other carriers' tariffs shall reflect adoption.
221.164 Concurrences or powers of attorney to be reissued.
221.165 Cessation of operations without successor.
Subpart R_Electronically Filed Tariffs
221.170 Applicability of the subpart.
221.180 Requirements for electronic filing of tariffs.
221.190 Time for filing and computation of time periods.
221.195 Requirement for filing printed material.
221.200 Content and explanation of abbreviations, reference marks and
symbols.
221.201 Statement of filing with foreign governments to be shown in air
carrier's tariff filings.
221.202 The filing of tariffs and amendments to tariffs.
221.203 Unique rule numbers required.
221.204 Adoption of provisions of one carrier by another carrier.
221.205 Justification and explanation for certain fares.
221.206 Statement of fares.
221.210 Suspension of tariffs.
221.211 Cancellation of suspended matter.
221.212 Special tariff permission.
221.300 Discontinuation of electronic tariff system.
221.400 Filing of paper tariffs required.
221.500 Transmission of electronic tariffs to subscribers.
221.550 Copies of tariffs made from filer's printer(s) located in
Department's public reference room.
221.600 Actions under assigned authority and petitions for review of
staff action.
Authority: 49 U.S.C. 40101, 40109, 40113, 46101, 46102, chapter 411,
chapter 413, chapter 415 and chapter 417, subchapter I.
Source: 64 FR 40657, July 27, 1999, unless otherwise noted.
[[Page 56]]
Subpart A_General
Sec.221.1 Applicability of this part.
All tariffs and amendments to tariffs of air carriers and foreign
air carriers filed with the Department pursuant to chapter 415 of the
statute shall be constructed, published, filed, posted and kept open for
public inspection in accordance with the regulations in this part and
orders of the Department.
Sec.221.2 Carrier's duty.
(a) Must file tariffs. (1) Except as provided in paragraph (d) of
this section, every air carrier and every foreign air carrier shall file
with the Department, and provide and keep open to public inspection,
tariffs showing all fares, and charges for foreign air transportation
between points served by it, and between points served by it and points
served by any other air carrier or foreign air carrier, when through
service and through rates shall have been established, and showing to
the extent required by regulations and orders of the Department, all
classifications, rules, regulations, practices, and services in
connection with such foreign air transportation.
(2) Tariffs shall be filed, and provided in such form and manner,
and shall contain such information as the Department shall by regulation
or order prescribe. Any tariff so filed which is not consistent with
chapter 415 of the statute and such regulations and orders may be
rejected. Any tariff so rejected shall be void, and may not be used.
(b) Must observe tariffs. No air carrier or foreign air carrier
shall charge or demand or collect or receive a greater or less or
different compensation for foreign air transportation or for any service
in connection therewith, than the fares and charges specified in its
currently effective tariffs; and no air carrier or foreign air carrier
shall, in any manner or by any device, directly or indirectly, or
through any agent or broker, or otherwise, refund or remit any portion
of the fares, or charges so specified, or extend to any person any
privileges or facilities, with respect to matters required by the
Department to be specified in such tariffs, except those specified in
such tariffs.
(c) No relief from violations. Nothing contained in this part shall
be construed as relieving any air carrier or foreign air carrier from
liability for violations of the statute, nor shall the filing of a
tariff, or amendment thereto, relieve any air carrier or foreign air
carrier from such violations or from violations of regulations issued
under the statute.
(d) Exemption authority. Air carriers and foreign air carriers, both
direct and indirect, are exempted from the requirement of section 41504
of the statute and any requirement of this chapter to file, and shall
not file with the Department, tariffs for operations under the following
provisions:
(1) Part 291, Domestic Cargo Transportation;
(2) Part 296, Indirect Air Transportation of Property;
(3) Part 297, Foreign Air Freight Forwarders and Foreign Cooperative
Shippers Association;
(4) Part 298, Exemption for Air Taxi Operations, except to the
extent noted in Sec.298.11(b);
(5) Part 380, Public Charters;
(6) Part 207, Charter Trips and Special Services;
(7) Part 208, Terms, Conditions, and Limitations of Certificates to
Engage in Charter Air Transportation;
(8) Part 212, Charter Trips by Foreign Air Carriers;
(9) Part 292, International Cargo Transportation, except as provided
in part 292.
(10) Part 293 International Passenger Transportation, except as
provided in part 293.
Sec.221.3 Definitions.
As used in this part, terms shall be defined as follows:
Add-on means an amount published for use only in combination with
other fares for the construction of through fares. It is also referred
to as ``proportional fare'' and ``arbitrary fare''.
Add-on tariff means a tariff which contains add-on fares.
Area No. 1 means all of the North and South American Continents and
the islands adjacent thereto; Greenland; Bermuda; the West Indies and
the islands of the Caribbean Sea; and the Hawaiian
[[Page 57]]
Islands (including Midway and Palmyra).
Area No. 2 means all of Europe (including that part of the former
Union of the Soviet Socialist Republics in Europe) and the islands
adjacent thereto; Iceland; the Azores; all of Africa and the islands
adjacent thereto; Ascension Island; and that part of Asia lying west of
and including Iran.
Area No. 3 means all of Asia and the islands adjacent thereto except
that portion included in Area No. 2; all of the East Indies, Australia,
New Zealand, and the islands adjacent thereto; and the islands of the
Pacific Ocean except those included in Area No. 1.
Bundled normal economy fare means the lowest one-way fare available
for unrestricted, on-demand service in any city-pair market.
CRT means a video display terminal that uses a cathode ray tube as
the image medium.
Capacity controlled fare means a fare for which a carrier limits the
number of seats available for sale.
Carrier means an air carrier or foreign air carrier subject to
section 41504 of 49 U.S.C. subtitle VII.
Charge means the amount charged for baggage, in excess of the free
allowance, accompanying or checked by a passenger or for any other
service ancillary to the passenger's carriage.
Conditions of carriage means those rules of general applicability
that define the rights and obligations of the carrier(s) and any other
party to the contract of carriage with respect to the transportation
services provided.
Contract of carriage means those fares, rules, and other provisions
applicable to the foreign air transportation of passengers or their
baggage, as defined in the statute.
Department means the Department of Transportation.
Direct-service market means an international market where the
carrier provides service either on a nonstop or single-flight-number
basis, including change-of-gauge.
Electronic tariff means an international passenger fares or rules
tariff or a special tariff permission application transmitted to the
Department by means of an electronic medium, and containing fares for
the transportation of persons and their baggage, and including such
associated data as arbitraries, footnotes, routings, and fare class
explanations.
Fare means the amount per passenger or group of persons stated in
the applicable tariff for the air transportation thereof and includes
baggage unless the context otherwise requires.
Field means a specific area of a record used for a particular
category of data.
Filer means an air carrier, foreign air carrier, or tariff
publishing agent of such a carrier filing tariffs on its behalf in
conformity with this subpart.
Item means a small subdivision of a tariff and identified by a
number, a letter, or other definite method for the purpose of
facilitating reference and amendment.
Joint fare means a fare that applies to transportation over the
joint lines or routes of two or more carriers and which is made and
published by arrangement or agreement between such carriers evidenced by
concurrence or power of attorney.
Joint tariff means a tariff that contains joint fares.
Local fare means a fare that applies to transportation over the
lines or routes of one carrier only.
Local tariff means a tariff that contains local fares.
Machine-readable data means encoded computer data, normally in a
binary format, which can be read electronically by another computer with
the requisite software without any human interpretation.
On-line tariff database means the remotely accessible, on-line
version, maintained by the filer, of:
(1) The electronically filed tariff data submitted to the Department
pursuant to this part and Department orders, and
(2) The Departmental approvals, disapprovals, and other actions, as
well as any Departmental notation concerning such approvals,
disapprovals, or other actions, that subpart R of this part requires the
filer to maintain in its database.
Original tariff refers to the tariff as it was originally filed
exclusive of any supplements, revised records or additional records.
[[Page 58]]
Passenger means any person who purchases, or who contacts a ticket
office or travel agent for the purpose of purchasing, or considering the
purchase of, foreign air transportation.
Passenger tariff means a tariff containing fares, charges, or
governing provisions applicable to the foreign air transportation of
persons and their baggage.
Publish means to display tariff material in either electronic or
paper media.
Record means an electronic tariff data set that contains information
describing one (1) tariff price or charge, or information describing one
(1) related element associated with that tariff price or charge.
SFFL means the Standard Foreign Fare Level as established by the
Department of Transportation under 49 U.S.C. 41509.
Statute means subtitle VII of Title 49, United States Code.
Statutory notice means the number of days required for tariff
filings in Sec.221.160(a).
Tariff publication means a tariff, a supplement to a tariff, or an
original or revised record of a tariff, including an index of tariffs
and an adoption notice (Sec.221.161).
Through fare means the total fare from point of origin to
destination. It may be a local fare, a joint fare, or combination of
separately established fares.
Ticket office means a station, office or other location where
tickets are sold or similar documents are issued, that is under the
charge of a person employed exclusively by the carrier, or by it jointly
with another person.
Unbundled normal economy fare means the lowest one-way fare
available for on-demand service in any city-pair market which is
restricted in some way, e.g., by limits set and/or charges imposed for
enroute stopovers or transfers, exclusive of capacity control.
United States means the several States, the District of Columbia,
and the several Territories and possessions of the United States,
including the Territorial waters and the overlying air space thereof.
Warsaw Convention means the Convention for the Unification of
Certain Rules Relating to International Transportation by Air, 49 Stat.
3000.
Sec.221.4 English language.
All tariffs and other documents and material filed with the
Department pursuant to this part shall be in the English language.
Sec.221.5 Unauthorized air transportation.
Tariff publications shall not contain fares or charges, or their
governing provisions, applicable to foreign air transportation which the
issuing or participating carriers are not authorized by the Department
to perform, except where the Department expressly requests or authorizes
tariff publications to be filed prior to the Department's granting
authority to perform the foreign air transportation covered by such
tariff publications. Any tariff publication filed pursuant to such
express request or authorization which is not consistent with chapter
415 and this part may be rejected; any tariff publication so rejected
shall be void.
Subpart B_Who is Authorized To Issue and File Tariffs
Sec.221.10 Carrier.
(a) Local or joint tariffs. A carrier may issue and file, in its own
name, tariff publications which contain:
(1) Local fares of such carrier only, and provisions governing such
local fares, and/or
(2) Joint fares which apply jointly via such issuing carrier in
connection with other carriers (participating in the tariff publications
under authority of their concurrences given to the issuing carrier as
provided in Sec.221.140) and provisions governing such joint fares.
Provisions for account of an individual participating carrier may be
published to govern such joint fares provided Sec.221.40(a)(9) is
complied with. A carrier shall not issue and file tariff publications
containing local fares of other carriers, joint rates or fares in which
the issuing carrier does not participate, or provisions governing such
local or joint fares.
(3) Rules and regulations governing foreign air transportation to
the extent
[[Page 59]]
provided by this part and/or Department order. Rules and regulations may
be published in separate governing tariffs, as provided in subpart G.
(b) Issuing officer. An officer or designated employee of the
issuing carrier shall be shown as the issuing officer of a tariff
publication issued by a carrier, and such issuing officer shall file the
tariff publication with the Department on behalf of the issuing carrier
and all carriers participating in the tariff publication.
Sec.221.11 Agent.
An agent may issue and file, in his or its own name, tariff
publications naming local fares and/or joint fares, and provisions
governing such fares, and rules and regulations governing foreign air
transportation to the extent provided by this part and/or Department
order, for account of carriers participating in such tariff
publications, under authority of their powers of attorney given to such
issuing agent as provided in Sec.221.150. The issuing agent shall file
such tariff publications with the Department on behalf of all carriers
participating therein. Only one issuing agent may act in issuing and
filing each such tariff publication.
Subpart C_Specifications of Tariff Publications
Sec.221.20 Specifications applicable to tariff publications.
(a) Numerical order. All items in a tariff shall be arranged in
numerical or alphabetical order. Each item shall bear a separate item
designation and the same designation shall not be assigned to more than
one item.
(b) Carrier's name. Wherever the name of a carrier appears in a
tariff publication, such name shall be shown in full exactly as it
appears in the carrier's certificate of public convenience and
necessity, foreign air carrier permit, letter of registration, or
whatever other form of operating authority of the Department to engage
in air transportation is held by the carrier, or such other name which
has specifically been authorized by order of the Department. A carrier's
name may be abbreviated, provided the abbreviation is explained in the
tariff.
(c) Agent's name and title. Wherever the name of an agent appears in
tariff publications, such name shall be shown in full exactly as it
appears in the powers of attorney given to such agent by the
participating carriers and the title ``Agent'' or ``Alternate Agent''
(as the case may be) shall be shown immediately in connection with the
name.
(d) Statement of prices. All fares and charges shall be clearly and
explicitly stated and shall be arranged in a simple and systematic
manner. Complicated plans and ambiguous or indefinite terms shall not be
used. So far as practicable, the fares and charges shall be subdivided
into items or similar units, and an identifying number shall be assigned
to each item or unit to facilitate reference thereto.
(e) Statement of rules. The rules and regulations of each tariff
shall be clear, explicit and definite, and except as otherwise provided
in this part, shall contain:
(1) Such explanatory statements regarding the fares, charges, rules
or other provisions contained in the tariff as may be necessary to
remove all doubt as to their application.
(2) All of the terms, conditions, or other provisions which affect
the fares or charges for air transportation named in the tariff.
(3) All provisions and charges which in any way increase or decrease
the amount to be paid by any passenger, or which in any way increase or
decrease the value of the services rendered to the passenger.
(f) Separate rules tariff. If desired, rules and regulations may be
published in separate governing tariffs to the extent authorized and in
the manner required by subpart G.
(g) Rules of limited application. A rule affecting only a particular
fare or other provision in the tariff shall be specifically referred to
in connection with such fare or other provision, and such rule shall
indicate that it is applicable only in connection with such fare or
other provision. Such rule shall not be published in a separate
governing rules tariff.
(h) Conflicting or duplicating rules prohibited. The publication of
rules or regulations which duplicate or conflict
[[Page 60]]
with other rules or regulations published in the same or any other
tariff for account of the same carrier or carriers and applicable to or
in connection with the same transportation is prohibited.
(i) Each tariff shall include:
(1) A prominent D.O.T. or other number identifying the tariff in the
sequence of tariffs published by the carrier or issuing agent;
(2) The name of the issuing carrier or agent;
(3) The cancellation of any tariffs superseded by the tariff;
(4) A description of the tariff contents, including geographic
coverage;
(5) Identification by number of any governing tariffs;
(6) The date on which the tariff is issued;
(7) The date on which the tariff provisions will become effective;
and
(8) the expiration date, if applicable to the entire tariff.
Subpart D_Manner of Filing Tariffs
Sec.221.30 Passenger fares and charges.
(a) Fares tariffs, including associated data, shall be filed
electronically in conformity with subpart R. Associated data includes
arbitraries, footnotes, routing numbers and fare class explanations. See
Sec.221.202(b)(8).
(b) Upon application by a carrier, the Department's Office of
International Aviation shall have the authority to waive the electronic
filing requirement in this paragraph and in Subpart R in whole or in
part, for a period up to one year, and to permit, under such terms and
conditions as may be necessary to carry out the purposes of this part,
the applicant carrier to file fare tariffs in a paper format. Such
waivers shall only be considered where electronic filing, compared to
paper filing, is impractical and will produce a significant economic
hardship for the carrier due to the limited nature of the carrier's
operations subject to the requirements of this part, or other unusual
circumstances. Paper filings pursuant to this paragraph shall normally
conform to the requirements of Sec.221.195 and other applicable
requirements of this part.
Sec.221.31 Rules and regulations governing passenger fares and services.
(a) Tariff rules and regulations governing passenger fares and
services other than those subject to Sec.221.30 may be filed
electronically in conformity with subpart R. Such filings shall conform
to criteria approved by the Department's Office of International
Aviation as provided in Sec.221.180 and shall contain at a minimum the
information required by Sec.221.202(b)(9).
(b) Applications for special tariff permission may be filed
electronically, as provided in Sec.221.212.
(c) Tariff publications and applications for special tariff
permission covered by paragraphs (a) and (b) of this section may be
filed in a paper format, subject to the requirements of this part and
Department orders.
Subpart E_Contents of Tariff
Sec.221.40 Specific requirements.
(a) In addition to the general requirements in Sec.221.20, the
rules and regulations of each tariff shall contain:
(1) Aircraft and seating. For individually ticketed passenger
service, the name of each type of aircraft used in rendering such
service by manufacturer model designation and a description of the
seating configuration (or configurations if there are variations) of
each type of aircraft. Where fares are provided for different classes or
types of passenger service (that is, first class, coach, day coach,
night coach, tourist, economy or whatever other class or type of service
is provided under the tariff), the tariff shall specify the type of
aircraft and the seating configuration used on such aircraft for each
class or type of passenger service. When two or more classes or types of
passenger service are performed in a single aircraft, the seating
configuration for each type or class shall be stated and described.
(2) Rule numbers. Each rule or regulation shall have a separate
designation. The same designation shall not be assigned to more than one
rule in the tariff.
(3) Penalties. Where a rule provides a charge in the nature of a
penalty, the rule shall state the exact conditions
[[Page 61]]
under which such charge will be imposed.
(4) Vague or indefinite provisions. Rules and regulations shall not
contain indefinite statements to the effect that traffic of any nature
will be ``taken only by special arrangements'', or that services will be
performed or penalties imposed ``at carrier's option'', or that the
carrier ``reserves the right'' to act or to refrain from acting in a
specified manner, or other provisions of like import; instead, the rules
shall state definitely what the carrier will or will not do under the
exact conditions stated in the rules.
(5) Personal liability rules. Except as provided in this part, no
provision of the Department's regulations issued under this part or
elsewhere shall be construed to require the filing of any tariff rules
stating any limitation on, or condition relating to, the carrier's
liability for personal injury or death. No subsequent regulation issued
by the Department shall be construed to supersede or modify this rule of
construction except to the extent that such regulation shall do so in
express terms.
(6) Notice of limitation of liability for death or injury under the
Warsaw Convention. Notwithstanding the provisions of paragraph (a)(5) of
this section, each air carrier and foreign air carrier shall publish in
its tariffs a provision stating whether it avails itself of the
limitation on liability to passengers as provided in Article 22(1) of
the Warsaw Convention or whether it has elected to agree to a higher
limit of liability by a tariff provision. Unless the carrier elects to
assume unlimited liability, its tariffs shall contain a statement as to
the applicability and effect of the Warsaw Convention, including the
amount of the liability limit in dollars. Where applicable, a statement
advising passengers of the amount of any higher limit of liability
assumed by the carrier shall be added.
(7) Extension of credit. Air carriers and foreign air carriers shall
not file tariffs that set forth charges, rules, regulations, or
practices relating to the extension of credit for payment of charges
applicable to air transportation.
(8) Individual carrier provisions governing joint fares. Provisions
governing joint fares may be published for account of an individual
carrier participating in such joint fares provided that the tariff
clearly indicates how such individual carrier's provisions apply to the
through transportation over the applicable joint routes comprised of
such carrier and other carriers who either do not maintain such
provisions or who maintain different provisions on the same subject
matter.
(9) Passenger property which cannot lawfully be carried in the
aircraft cabin. Each air carrier shall set forth in its tariffs
governing the transportation of persons, including passengers' baggage,
charges, rules, and regulations providing that such air carrier
receiving as baggage any property of a person traveling in air
transportation, which property cannot lawfully be carried by such person
in the aircraft cabin by reason of any Federal law or regulation, shall
assume liability to such person, at a reasonable charge and subject to
reasonable terms and conditions, within the amount declared to the air
carrier by such person, for the full actual loss or damage to such
property caused by such air carrier.
(b) [Reserved]
Sec.221.41 Routing.
(a) Required routing. The route or routes over which each fare
applies shall be stated in the tariff in such manner that the following
information can be definitely ascertained from the tariff:
(1) The carrier or carriers performing the transportation,
(2) The point or points of interchange between carriers if the route
is a joint route (via two or more carriers),
(3) The intermediate points served on the carrier's or carriers'
routes applicable between the origin and destination of the fare and the
order in which such intermediate points are served.
(b) Individually stated routings--Method of publication. The routing
required by paragraph (a) of this section shall be shown directly in
connection with each fare or charge for transportation, or in a routing
portion of the tariff (following the fare portion of the tariff), or in
a governing routing tariff. When shown in the routing portion of the
tariff or in a governing routing tariff, the
[[Page 62]]
fare from each point of origin to each point of destination shall bear a
routing number and the corresponding routing numbers with their
respective explanations of the applicable routings shall be arranged in
numerical order in the routing portion of the tariff or in the governing
routing tariff.
Subpart F_Requirements Applicable to All Statements of Fares and Charges
Sec.221.50 Currency.
(a) Statement in United States currency required. All fares and
charges shall be stated in cents or dollars of the United States except
as provided in paragraph (b) of this section.
(b) Statements in both United States and foreign currencies
permitted. Fares and charges applying between points in the United
States, on the one hand, and points in foreign countries, on the other
hand, or applying between points in foreign countries, may also be
stated in the currencies of foreign countries in addition to being
stated in United States currency as required by paragraph (a) of this
section: Provided, that:
(1) The fares and charges stated in currencies of countries other
than the United States are substantially equivalent in value to the
respective fares and charges stated in cents or dollars of the United
States.
(2) Each record containing fares and charges shall clearly indicate
the respective currencies in which the fares and charges thereon are
stated, and
(3) The fares and charges stated in cents or dollars of the United
States are published separately from those stated in currencies of other
countries. This shall be done in a systematic manner and the fares and
charges in the respective currencies shall be published in separate
records.
Sec.221.51 Territorial application.
(a) Specific points of origin and destination. Except as otherwise
provided in this part, the specific points of origin and destination
from and to which the fares apply shall be specifically named directly
in connection with the respective fares.
(b) Directional application. A tariff shall specifically indicate
directly in connection with the fares therein whether they apply
``from'' and ``to'' or ``between'' the points named. Where the fares
apply in one direction, the terms ``From'' and ``To'' shall be shown in
connection with the point of origin and point of destination,
respectively, and, where the fares apply in both directions between the
points, the terms ``Between'' and ``And'' shall be shown in connection
with the respective points.
Sec.221.52 Airport to airport application, accessorial services.
Tariffs shall specify whether or not the fares therein include
services in addition to airport-to-airport transportation.
Sec.221.53 Proportional fares.
(a) Definite application. Add-on fares shall be specifically
designated as ``add-on'' fares on each page where they appear.
(b) A tariff may provide that fares from (or to) particular points
shall be determined by the addition of add-ons to, or the deduction of
add-ons from, fares therein which apply from (or to) a base point.
Provisions for the addition or deduction of such add-ons shall be shown
either directly in connection with the fare applying to or from the base
point or in a separate provision which shall specifically name the base
point. The tariff shall clearly and definitely state the manner in which
such add-ons shall be applied.
(c) Restrictions upon beyond points or connecting carriers. If an
add-on fare is intended for use only on traffic originating at and/or
destined to particular beyond points or is to apply only in connection
with particular connecting carriers, such application shall be clearly
and explicitly stated directly in connection with such add-on fare.
Sec.221.54 Fares stated in percentages of other fares; other relationships prohibited.
(a) Fares for foreign air transportation of persons or property
shall not be stated in the form of percentages,
[[Page 63]]
multiples, fractions, or other relationships to other fares except to
the extent authorized in paragraphs (b), (c), and (d) of this section
with respect to passenger fares and baggage charges.
(b) A basis of fares for refund purposes may be stated, by rule, in
the form of percentages of other fares.
(c) Transportation rates for the portion of passengers' baggage in
excess of the baggage allowance under the applicable fares may be
stated, by rule, as percentages of fares.
(d) Children's, infants' and senior citizen's fares, may be stated,
by rule, as percentages of other fares published specifically in dollars
and cents (hereinafter referred to as base fares): Provided, that:
(1) Fares stated as percentages of base fares shall apply from and
to the same points, via the same routes, and for the same class of
service and same type of aircraft to which the applicable base fares
apply, and shall apply to all such base fares in a fares tariff.
(2) Fares shall not be stated as percentages of base fares for the
purpose of establishing fares applying from and to points, or via
routes, or on types of aircraft, or for classes of service different
from the points, routes, types of aircraft, or classes of service to
which the base fares are applicable.
Sec.221.55 Conflicting or duplicating fares prohibited.
The publication of fares or charges of a carrier which duplicate or
conflict with the fares of the same carrier published in the same or any
other tariff for application over the same route or routes is hereby
prohibited.
Sec.221.56 Applicable fare when no through local or joint fares.
Where no applicable local or joint fare is provided from point of
origin to point of destination over the route of movement, whichever
combination of applicable fares provided over the route of movement
produces the lowest charge shall be applicable, except that a carrier
may provide explicitly that a fare cannot be used in any combination or
in a combination on particular traffic or under specified conditions,
provided another combination is available.
Subpart G_Governing Tariffs
Sec.221.60 When reference to governing tariffs permitted.
(a) Reference to other tariffs prohibited except as authorized. A
tariff shall not refer to nor provide that it is governed by any other
tariff, document, or publication, or any part thereof, except as
specifically authorized by this part.
(b) Reference by fare tariff to governing tariffs. A fare tariff may
be made subject to a governing tariff or governing tariffs authorized by
this subpart: Provided, that reference to such governing tariffs is
published in the fare tariff in the manner required by Sec.221.20(h).
(c) Participation in governing tariffs. A fare tariff may refer to a
separate governing tariff authorized by this subpart only when all
carriers participating in such fare tariff are also shown as
participating carriers in the governing tariff: Provided, that:
(1) If such reference to a separate governing tariff does not apply
for account of all participating carriers and is restricted to apply
only in connection with local or joint fares applying over routes
consisting of only particular carriers, only the carriers for whom such
reference is published are required to be shown as participating
carriers in the governing tariff to which such qualified reference is
made.
(2) [Reserved]
(d) Maximum number of governing tariffs. A single fare tariff shall
not make reference to conflicting governing tariffs.
Sec.221.61 Rules and regulations governing foreign air transportation.
Instead of being included in the fares tariffs, the rules and
regulations governing foreign air transportation required to be filed by
Sec. Sec.221.20 and 221.30 and/or Department order which do not govern
the applicability of particular fares may be filed in separate governing
tariffs, conforming to this subpart. Governing rules tariffs shall
contain an index of rules.
Sec.221.62 Explosives and other dangerous or restricted articles.
Carriers may publish rules and regulations governing the
transportation of
[[Page 64]]
explosives and other dangerous or restricted articles in separate
governing tariffs, conforming to this subpart, instead of being included
in the fares tariffs or in the governing rules tariff authorized by
Sec.221.61. This separate governing tariff shall contain no other
rules or governing provisions.
Sec.221.63 Other types of governing tariffs.
Subject to approval of the Department, carriers may publish other
types of governing tariffs not specified in this subpart, such as
routing guides.
Subpart H_Amendment of Tariffs
Sec.221.70 Who may amend tariffs.
A tariff shall be amended only by the carrier or agent who issued
the tariff (except as otherwise authorized in subparts P and Q).
Sec.221.71 Requirement of clarity and specificity.
Amendments to tariffs shall identify with specificity and clarity
the material being amended and the changes being made. Amendments to
paper tariffs shall be accomplished by reissuing each page upon which a
change occurs with the change made and identified by uniform amendment
symbols. Each revised page shall identify and cancel the previously
effective page, show the effective date of the previous page, and show
the intended effective date of the revised page. Amendments in
electronic format shall conform to the requirements of Sec.221.202 and
other applicable provisions of subpart R.
Sec.221.72 Reinstating canceled or expired tariff provisions.
Any fares, rules, or other tariff provisions which have been
canceled or which have expired may be reinstated only by republishing
such provisions and posting and filing the tariff publications
(containing such republished provisions) on lawful notice in the form
and manner required by this part.
Subpart I_Suspension of Tariff Provisions by Department
Sec.221.80 Effect of suspension by Department.
(a) Suspended matter not to be used. A fare, charge, or other tariff
provision which is suspended by the Department, under authority of
chapter 415 of the statute, shall not be used during the period of
suspension specified by the Department's order.
(b) Suspended matter not to be changed. A fare, charge, or other
tariff provision which is suspended by the Department shall not be
changed in any respect or withdrawn or the effective date thereof
further deferred except by authority of an order or special tariff
permission of the Department.
(c) Suspension continues former matter in effect. If a tariff
publication containing matter suspended by the Department directs the
cancellation of a tariff or any portion thereof, which contains fares,
charges, or other tariff provisions sought to be amended by the
suspended matter, such cancellation is automatically suspended for the
same period insofar as it purports to cancel any tariff provisions
sought to be amended by the suspended matter.
(d) Matter continued in effect not to be changed. A fare, charge, or
other tariff provision which is continued in effect as a result of a
suspension by the Department shall not be changed during the period of
suspension unless the change is authorized by order or special tariff
permission of the Department, except that such matter may be reissued
without change during the period of suspension.
Sec.221.81 Suspension supplement.
(a) Suspension supplement. Upon receipt of an order of the
Department suspending any tariff publication in part or in its entirety,
the carrier or agent who issued such tariff publication shall
immediately issue and file with the Department a consecutively numbered
supplement for the purpose of announcing such suspension.
(b) The suspension supplement shall not contain an effective date
and it shall contain the suspension notice required by paragraph (c) of
this section.
[[Page 65]]
(c) Suspension notice. The suspension supplement shall contain a
prominent notice of suspension which shall:
(1) Indicate what particular fares, charges, or other tariff
provisions are under suspension,
(2) State the date to which such tariff matter is suspended,
(3) State the Department's docket number and order number which
suspended such tariff matter, and
(4) Give specific reference to the tariffs (specifying their D.O.T.
or other identifying numbers), original or revised records and
paragraphs or provisions which contain the fares, charges, or other
tariff provisions continued in effect.
Sec.221.82 Reissue of matter continued in effect by suspension to
be canceled upon termination of suspension.
When tariff provisions continued in effect by a suspension are
reissued during the period of such suspension, the termination of the
suspension and the coming into effect of the suspended matter will not
accomplish the cancellation of such reissued matter. In such
circumstances, prompt action shall be taken by the issuing agent or
carrier to cancel such reissued provisions upon the termination of the
suspension in order that they will not conflict with the provisions
formerly under suspension.
Sec.221.83 Tariff must be amended to make suspended matter effective.
(a) When the Department vacates an order which suspended certain
tariff matter in full or in part, such matter will not become effective
until the termination of the suspension period unless the issuing agent
or carrier amends the pertinent tariffs in the manner prescribed in this
subpart (except as provided in paragraph (b) of this section).
(b) If the Department vacates its suspension order prior to the
original published effective date of the tariff provisions whose
suspension is vacated, such provisions will become effective on their
published effective date.
Sec.221.84 Cancellation of suspended matter subsequent to date
to which suspended.
(a) Endeavor to cancel prior to expiration of suspension period.
When an order of the Department requires the cancellation of tariff
provisions which were suspended by the Department and such cancellation
is required to be made effective on or before a date which is after the
date to which such tariff provisions were suspended, the issuing carrier
or agent shall, if possible, make the cancellation effective prior to
the date to which such tariff provisions were suspended.
(b) When necessary to republish matter continued in effect by
suspension. If suspended tariff provisions become effective upon
expiration of their suspension period and thereby accomplish the
cancellation of the tariff provisions continued in effect by the
suspension, the issuing agent or carrier shall republish and reestablish
such canceled tariff provisions effective simultaneously with the
cancellation of the suspended provisions in compliance with the
Department's order. The tariff amendments which reestablish such
canceled tariff provisions shall bear reference to this subpart and the
Department's order.
Subpart J_Filing Tariff Publications With Department
Sec.221.90 Required notice.
(a) Statutory notice required. Unless otherwise authorized by the
Department or specified in a bilateral agreement between the United
States and a foreign country, all tariff filings shall be made on the
following schedule, whether or not they effect any changes:
(1) At least 30 days before they are to become effective, for
tariffs stating a passenger fare within the zone created by section
41509(e) of the statute or stating a rule that affects only such a fare;
(2) At least 25 days before they are to become effective, for
matching tariffs that are to become effective on the same date as the
tariff to be matched and that meet competition as described in Sec.
221.94(c)(1)(v); and
[[Page 66]]
(3) At least 60 days before they are to become effective, for all
other tariffs.
(b) Computing number of days' notice. A tariff publication shall be
deemed to be filed only upon its actual receipt by the Department, and
the first day of any required period of notice shall be the day of
actual receipt by the Department.
(c) Issued date. All tariff publications must be received by the
Department on or before the designated issued date.
Sec.221.91 Delivering tariff publications to Department.
Tariff publications will be received for filing only by delivery
thereof to the Department electronically, through normal mail channels,
or by delivery thereof during established business hours directly to
that office of the Department charged with the responsibility of
processing tariffs. No tariff publication will be accepted by the
Department unless it is delivered free from all charges, including
claims for postage.
Sec.221.92 Number of copies required.
Two copies of each paper tariff, tariff revision and adoption notice
to be filed shall be sent to the Office of International Aviation,
Department of Transportation, Washington, DC 20428. All such copies
shall be included in one package and shall be accompanied by a letter of
tariff transmittal.
Sec.221.93 Concurrences or powers of attorney not previously filed
to accompany tariff transmittal.
When a tariff is filed on behalf of a carrier participating therein
under authority of its concurrence or power of attorney, such
concurrence or power of attorney shall, if not previously filed with the
Department, be transmitted at the same time such tariff is submitted for
filing.
Sec.221.94 Explanation and data supporting tariff changes and
new matter in tariffs.
When a tariff is filed with the Department which contains new or
changed local or joint fares or charges for foreign air transportation,
or new or changed classifications, rules, regulations, or practices
affecting such fares or charges, or the value of the service thereunder,
the issuing air carrier, foreign air carrier, or agent shall submit with
the filing of such tariff:
(a) An explanation of the new or changed matter and the reasons for
the filing, including (if applicable) the basis of rate making employed.
Where a tariff is filed pursuant to an intercarrier agreement approved
by the Department, the explanation shall identify such agreement by DOT
Docket number, DOT order of approval number, IATA resolution number, or
if none is designated, then by other definite identification. Where a
tariff is filed on behalf of a foreign air carrier pursuant to a
Government order, a copy of such order shall be submitted with the
tariff.
(b) Appropriate Economic data and/or information in support of the
new or changed matter.
(c) Exceptions. (1) The requirement for data and/or information in
paragraph (b) of this section will not apply to tariff publications
containing new or changed matter which are filed:
(i) In response to Department orders or specific policy
pronouncements of the Department directly related to such new or changed
matter;
(ii) Pursuant to an intercarrier agreement approved by the
Department setting forth the fares, charges (or specific formulas
therefor) or other matter: Provided that the changes are submitted with
the number of the DOT order of approval and fully comply with any
conditions set forth in that order;
(iii) To the extent fares for scheduled passenger service are within
a statutory or Department-established zone of fare flexibility; and
(iv) To meet competition: Provided, that
(A) Changed matter will be deemed to have been filed to meet
competition only when it effects decreases in fares or charges and/or
increases the value of service so that the level of the fares or charges
and the services provided will be substantially similar to the level of
fares or charges and the services of a competing carrier or carriers.
(B) New matter will be deemed to have been filed to meet competition
only when it establishes or affects a
[[Page 67]]
fare or charge and a service which will be substantially similar to the
fares or charges and the services of a competing carrier or carriers.
(C) When new or changed matter is filed to meet competition over a
portion of the filing air carrier's system and is simultaneously made
applicable to the balance of the system, such matter, insofar as it
applies over the balance of the system, will be deemed to be within the
exception in this paragraph (c)(1)(iv) of this section only if such
carrier submits an explanation as to the necessity of maintaining
uniformity over its entire system with respect to such new or changed
matter.
(D) In any case where new or changed matter is filed to meet
competition, the filing carrier or agent must supply, as part of the
filing justification, the complete tariff references which will serve to
identify the competing tariff matter which the tariff purports to meet.
In such case the justification or attachment shall state whether the new
or changed matter is identical to the competing tariff matter which it
purports to meet or whether it approximates the competing tariff matter.
If the new or changed matter is not identical, the transmittal letter or
attachment shall contain a statement explaining, in reasonable detail,
the basis for concluding that the tariff publication being filed is
substantially similar to the competing tariff matter.
(2) [Reserved]
Subpart K_Availability of Tariff Publications for Public Inspection
Sec.221.100 Public notice of tariff information.
Carriers must make tariff information available to the general
public, and in so doing must comply with either:
(a) Sections 221.101, 221.102, 221.103, 221.104, 221.105, and
221.106, or
(b) Sections 221.105, 221.106 and 221.107 of this subpart.
Sec.221.101 Inspection at stations, offices, or locations other
than principal or general office.
(a) Each carrier shall make available for public inspection at each
of its stations, offices, or other locations at which tickets for
passenger transportation are sold and which is in charge of a person
employed exclusively by the carrier, or by it jointly with another
person, all tariffs applicable to passenger traffic from or to the point
where such station, office, or location is situated, including tariffs
covering any terminal services, charges, or practices whatsoever, which
apply to passenger traffic from or to such point.
(b) A carrier will be deemed to have complied with the requirement
that it ``post'' tariffs, if it maintains at each station, office, or
location a file in complete form of all tariffs required to be posted;
and in the case of tariffs involving passenger fares, rules, charges or
practices, notice to the passenger as required in Sec.221.105.
(c) Tariffs shall be posted by each carrier party thereto no later
than the filed date designated thereon except that in the case of
carrier stations, offices or locations situated outside the United
States, its territories and possessions, the time shall be not later
than five days after the filed date, and except that a tariff which the
Department has authorized to be filed on shorter notice shall be posted
by the carrier on like notice as authorized for filing.
Sec.221.102 Accessibility of tariffs to the public.
Each file of tariffs shall be kept in complete and accessible form.
Employees of the carrier shall be required to give any desired
information contained in such tariffs, to lend assistance to seekers of
information therefrom, and to afford inquirers opportunity to examine
any of such tariffs without requiring the inquirer to assign any reason
for such desire.
Sec.221.103 Notice of tariff terms.
Each carrier shall cause to be displayed continuously in a
conspicuous public place at each station, office, or location at which
tariffs are required to be posted, a notice printed in large type
reading as follows:
Public Inspection of Tariffs
All the currently effective passenger tariffs to which this company
is a party and all passenger tariff publications which have
[[Page 68]]
been issued but are not yet effective are on file in this office, so far
as they apply to traffic from or to. (Here name the point.) These
tariffs may be inspected by any person upon request and without the
assignment of any reason for such inspection. The employees of this
company on duty in this office will lend assistance in securing
information from the tariffs.
In addition, a complete file of all tariffs of this company, with
indexes thereof, is maintained and kept available for public inspection
at. (Here indicate the place or places where complete tariff files are
maintained, including the street address, and where appropriate, the
room number.)
Sec.221.105 Special notice of limited liability for death or injury
under the Warsaw Convention.
(a)(1) In addition to the other requirements of this subpart, each
air carrier and foreign air carrier which, to any extent, avails itself
of the limitation on liability to passengers provided by the Warsaw
Convention, shall, at the time of delivery of the ticket, furnish to
each passenger whose transportation is governed by the Convention and
whose place of departure or place of destination is in the United
States, the following statement in writing:
Advice to International Passengers on Limitations of Liability
Passengers embarking upon a journey involving an ultimate
destination or a stop in a country other than the country of departure
are advised that the provisions of a treaty known as the Warsaw
Convention may be applicable to their entire journey including the
portion entirely within the countries of departure and destination. The
Convention governs and in most cases limits the liability of carriers to
passengers for death or personal injury to approximately $10,000.
Additional protection can usually be obtained by purchasing
insurance from a private company. Such insurance is not affected by any
limitation of the carrier's liability under the Warsaw Convention. For
further information please consult your airline or insurance company
representative.
(2) Provided, however, That when the carrier elects to agree to a
higher limit of liability to passengers than that provided in Article
22(1) of the Warsaw Convention, such statement shall be modified to
reflect the higher limit. The statement prescribed herein shall be
printed in type at least as large as 10-point modern type and in ink
contrasting with the stock on:
(i) Each ticket;
(ii) A piece of paper either placed in the ticket envelope with the
ticket or attached to the ticket; or
(iii) The ticket envelope.
(b) Each air carrier and foreign air carrier which, to any extent,
avails itself of the limitation on liability to passengers provided by
the Warsaw Convention, shall also cause to be displayed continuously in
a conspicuous public place at each desk, station, and position in the
United States which is in the charge of a person employed exclusively by
it or by it jointly with another person, or by any agent employed by
such air carrier or foreign air carrier to sell tickets to passengers
whose transportation may be governed by the Warsaw Convention and whose
place of departure or destination may be in the United States, a sign
which shall have printed thereon the statement prescribed in paragraph
(a) of this section: Provided, however, That an air carrier, except an
air taxi operator subject to part 298 of this subchapter, or foreign air
carrier which provides a higher limitation of liability than that set
forth in the Warsaw Convention and has signed a counterpart of the
agreement among carriers providing for such higher limit, which
agreement was approved by the Civil Aeronautics Board by Order E-23680,
dated May 13, 1966 (31 FR 7302, May 19, 1966), may use the alternate
form of notice set forth in the proviso to Sec.221.106(a) of this
chapter in full compliance with the posting requirements of this
paragraph. And provided further, That an air taxi operator subject to
part 298 of this subchapter, which provides a higher limitation of
liability than that set forth in the Warsaw Convention and has signed a
counterpart of the agreement among carriers providing for such higher
limit, which agreement was approved by the Civil Aeronautics Board by
Order E-23680, dated May 13, 1966 (31 FR 7302, May 19, 1966), may use
the following notice in the manner prescribed by this paragraph in full
compliance with the posting requirements of this paragraph. Such
statements shall be printed in bold faced type at least one-fourth of an
inch high.
[[Page 69]]
Advice to International Passengers on Limitation of Liability
Passengers traveling to or from a foreign country are advised that
airline liability for death or personal injury and loss or damage to
baggage may be limited by the Warsaw Convention and tariff provisions.
See the notice with your ticket or contact your airline ticket office or
travel agent for further information.
Sec.221.106 Notice of limited liability for baggage; alternative
consolidated notice of liability limitations.
(a)(1) Each air carrier and foreign air carrier which, to any
extent, avails itself of limitations on liability for loss of, damage
to, or delay in delivery of baggage shall cause to be displayed
continuously in a conspicuous public place at each desk, station, and
position in the United States which is in the charge of a person
employed exclusively by it or by it jointly with another person, or by
any agent employed by such air carrier or foreign air carrier to sell
tickets to persons or accept baggage for checking, a sign which shall
have printed thereon the following statement:
Notice of Limited Liability for Baggage
For most international travel (including domestic portions of
international journeys) liability for loss, delay, or damage to baggage
is limited to approximately $9.07 per pound for checked baggage and $400
per passenger for unchecked baggage unless a higher value is declared
and an extra charge is paid. Special rules may apply for valuables.
Consult your carrier for details.
(2) Provided, however, That an air carrier or foreign air carrier
which provides a higher limitation of liability for death or personal
injury than that set forth in the Warsaw Convention and has signed a
counterpart of the agreement approved by the Civil Aeronautics Board by
Order E-23680, dated May 13, 1966 (31 FR 7302, May 19, 1966), may use
the following notice in full compliance with the posting requirements of
this paragraph and of Sec.221.105(b):
Advice to Passengers on Limitations of Liability
Airline liability for death or personal injury may be limited by the
Warsaw Convention and tariff provisions in the case of travel to or from
a foreign country.
For most international travel (including domestic portions of
international journeys) liability for loss, delay or damage to baggage
is limited to approximately $9.07 per pound for checked baggage and $400
per passenger for unchecked baggage unless a higher value is declared
and an extra charge is paid. Special rules may apply to valuable
articles.
See the notice with your tickets or consult your airline or travel
agent for further information.
(3) Provided, however, That carriers may include in the notice the
parenthetical phrase ``($20.00 per kilo)'' after the phrase ``$9.07 per
pound'' in referring to the baggage liability limitation for most
international travel. Such statements shall be printed in bold-face type
at least one-fourth of an inch high and shall be so located as to be
clearly visible and clearly readable to the traveling public.
(b)(1) Each air carrier and foreign air carrier which, to any
extent, avails itself of limitations of liability for loss of, damage
to, or delay in delivery of, baggage shall include on or with each
ticket issued in the United States or in a foreign country by it or its
authorized agent, the following notice printed in at least 10 point
type:
Notice of Baggage Liability Limitations
For most international travel (including domestic portions of
international journeys) liability for loss, delay, or damage to baggage
is limited to approximately $9.07 per pound for checked baggage and $400
per passenger for unchecked baggage unless a higher value is declared in
advance and additional charges are paid. Excess valuation may not be
declared on certain types of valuable articles. Carriers assume no
liability for fragile or perishable articles. Further information may be
obtained from the carrier.
(2) Provided, however, That carriers may include in their ticket
notice the parenthetical phrase ``($20.00 per kilo)'' after the phrase
``$9.07 per pound'' in referring to the baggage liability limitation for
most international travel.
(c) It shall be the responsibility of each carrier to insure that
travel agents authorized to sell air transportation for such carrier
comply with the notice provisions of paragraphs (a) and (b) of this
section.
(d) Any air carrier or foreign air carrier subject to the provisions
of this
[[Page 70]]
section which wishes to use a notice of limited liability for baggage of
its own wording, but containing the substance of the language prescribed
in paragraphs (a) and (b) of this section may substitute a notice of its
own wording upon approval by the Department.
(e) The requirements as to time and method of delivery of the notice
(including the size of type) specified in paragraphs (a) and (b) of this
section and the requirement with respect to travel agents specified in
paragraph (c) of this section may be waived by the Department upon
application and showing by the carrier that special and unusual
circumstances render the enforcement of the regulations impractical and
unduly burdensome and that adequate alternative means of giving notice
are employed.
(f) Applications for relief under paragraphs (d) and (e) of this
section shall be filed with the Department's Office of International
Aviation not later than 15 days before the date on which such relief is
requested to become effective.
(g) Notwithstanding any other provisions of this section, no air
taxi operator subject to part 298 of this subchapter shall be required
to give the notices prescribed in this section, either in its capacity
as an air carrier or in its capacity as an agent for an air carrier or
foreign air carrier.
Sec.221.107 Notice of contract terms.
(a) Terms incorporated in the contract of carriage. (1) A ticket, or
other written instrument that embodies the contract of carriage for
foreign air transportation shall contain or be accompanied by notice to
the passenger as required in paragraphs (b) and (d) of this section.
(2) Each carrier shall make the full text of all terms that are
incorporated in a contract of carriage readily available for public
inspection at each airport or other ticket sales office of the carrier:
Provided, That the medium, i.e., printed or electronic, in which the
incorporated terms and conditions are made available to the consumer
shall be at the discretion of the carrier.
(3) Each carrier shall display continuously in a conspicuous public
place at each airport or other ticket sales office of the carrier a
notice printed in large type reading as follows:
Explanation of Contract Terms
All passenger (and/or cargo as applicable) contract terms
incorporated into the contract of carriage to which this company is a
party are available in this office. These provisions may be inspected by
any person upon request and for any reason. The employees of this office
will lend assistance in securing information, and explaining any terms.
In addition, a file of all tariffs of this company, with indexes
thereof, from which incorporated contract terms may be obtained is
maintained and kept available for public inspection at. (Here indicate
the place or places where tariff files are maintained, including the
street address and, where appropriate, the room number.)
(4) Each carrier shall provide to the passenger a complete copy of
the text of any/all terms and conditions applicable to the contract of
carriage, free of charge, immediately, if feasible, or otherwise
promptly by mail or other delivery service, upon request at any airport
or other ticket sales office of the carrier. In addition, all other
locations where the carrier's tickets may be issued shall have available
at all times, free of charge, information sufficient to enable the
passenger to request a copy of such term(s).
(b) Notice of incorporated terms. Each carrier and ticket agent
shall include on or with a ticket or other written instrument given to
the passenger, that embodies the contract of carriage, a conspicuous
notice that:
(1) The contract of carriage may incorporate terms and conditions by
reference; passengers may inspect the full text of each applicable
incorporated term at any of the carrier's airport locations or other
ticket sales offices of the carrier; and passengers, shippers and
consignees have the right to receive, upon request at any airport or
other ticket sales office of the carrier, a free copy of the full text
of any/all such terms by mail or other delivery service;
(2) The incorporated terms may include, among others, the terms
shown in paragraphs (b)(2) (i) through (iv) of this section. Passengers
may obtain a concise and immediate explanation of the terms shown in
paragraphs (b)(2) (i) through (iv) of this section from any
[[Page 71]]
location where the carrier's tickets are sold.
(i) Limits on the carrier's liability for personal injury or death
of passengers (subject to Sec.221.105), and for loss, damage, or delay
of goods and baggage, including fragile or perishable goods.
(ii) Claim restrictions, including time periods within which
passengers must file a claim or bring an action against the carrier for
its acts or omissions or those of its agents.
(iii) Rules about re-confirmations or reservations, check-in times,
and refusal to carry.
(iv) Rights of the carrier and limitations concerning delay or
failure to perform service, including schedule changes, substitution of
alternate carrier or aircraft, and rerouting.
(c) Explanation of incorporated terms. Each carrier shall ensure
that any passenger can obtain from any location where its tickets are
sold or any similar documents are issued, a concise and immediate
explanation of any term incorporated concerning the subjects listed in
paragraph (b)(2) or identified in paragraph (d) of this section.
(d) Direct notice of certain terms. A passenger must receive
conspicuous written notice, on or with the ticket, or other similar
document, of the salient features of any terms that restrict refunds of
the price of the transportation, impose monetary penalties on customers,
or permit a carrier to raise the price or impose more restrictive
conditions of contract after issuance of the ticket.
Sec.221.108 Transmission of tariff filings to subscribers.
(a) Each carrier required to file tariffs in accordance with this
part shall make available to any person so requesting a subscription
service as described in paragraph (b) of this section for its passenger
tariffs issued by it or by a publishing agent on its behalf.
(b) Under the required subscription service one copy of each new
tariff publication, including the justification required by Sec.
221.94, must be transmitted to each subscriber thereto by first-class
mail (or other equivalent means agreed upon by the subscriber) not later
than one day following the time the copies for official filing are
transmitted to the Department. The subscription service described in
this section shall not preclude the offering of additional types of
subscription services by carriers or their agents.
(c) The carriers or their publishing agents at their option may
establish a charge for providing the required subscription service to
subscribers: Provided, That the charge may not exceed a reasonable
estimate of the added cost of providing the service.
Subpart L_Rejection of Tariff Publications
Sec.221.110 Department's authority to reject.
The Department may reject any tariff which is not consistent with
section 41504 of the statute, with the regulations in this part, or with
Department orders.
Sec.221.111 Notification of rejection.
When a tariff is rejected, the issuing carrier or agent thereof will
be notified electronically or in writing that the tariff is rejected and
of the reason for such rejection.
Sec.221.112 Rejected tariff is void and must not be used.
A tariff rejected by the Department is void and is without any force
or effect whatsoever. Such rejected tariff must not be used.
Subpart M_Special Tariff Permission To File on Less Than Statutory
Notice
Sec.221.120 Grounds for approving or denying Special Tariff
Permission applications.
(a) General authority. The Department may permit changes in fares,
charges or other tariff provisions on less than the statutory notice
required by section 41505 of the statute.
(b) Grounds for approval. The following facts and circumstances
constitute some of the grounds for approving applications for Special
Tariff Permission in the absence of other facts and circumstances
warranting denial:
[[Page 72]]
(1) Clerical or typographical errors. Clerical or typographical
errors in tariffs constitute grounds for approving applications for
Special Tariff Permission to file on less than statutory notice the
tariff changes necessary to correct such errors. Each application for
Special Tariff Permission based on such grounds shall plainly specify
the errors and contain a complete statement of all the attending facts
and circumstances, and such application shall be presented to the
Department with reasonable promptness after issuance of the defective
tariff.
(2) Rejection caused by clerical or typographical errors or
unintelligibility. Rejection of a tariff caused by clerical or
typographical errors constitute grounds for approving applications for
Special Tariff Permission to file on less than statutory notice,
effective not earlier than the original effective dates in the rejected
tariff, all changes contained in the rejected tariff but with the errors
corrected. Each application for the grant of Special Tariff Permission
based on such grounds shall plainly specify the errors and contain a
complete statement of all the attending facts and circumstances, and
such application shall be filed with the Department within five days
after receipt of the Department's notice of rejection.
(3) Newly authorized transportation. The fact that the Department
has newly authorized a carrier to perform foreign air transportation
constitutes grounds for approving applications for Special Tariff
Permission to file on less than statutory notice the fares, rates, and
other tariff provisions covering such newly authorized transportation.
(4) The fact that a passenger fare is within a statutory or
Department-established zone of fare flexibility constitutes grounds for
approving an application for Special Tariff Permission to file a tariff
stating that fare and any rules affecting them exclusively, on less than
statutory notice. The Department's policy on approving such applications
is set forth in Sec.399.35 of this chapter.
(5) Lowered fares and charges. The prospective lowering of fares or
charges to the traveling public constitutes grounds for approving an
application for Special Tariff Permission to file on less than statutory
notice a tariff stating the lowered fares or charges and any rules
affecting them exclusively. However, the Department will not approve the
application if the proposed tariff raises significant questions of
lawfulness, as set forth in Sec.399.35 of this chapter.
(c) Filing notice required by formal order. When a formal order of
the Department requires the filing of tariff matter on a stated number
of days' notice, an application for Special Tariff Permission to file on
less notice will not be approved. In any such instance a petition for
modification of the order should be filed in the formal docket.
Sec.221.121 How to prepare and file applications for Special Tariff Permission.
(a) Form. Each application for Special Tariff Permission to file a
tariff on less than statutory notice shall conform to the requirements
of Sec.221.212 if filed electronically.
(b) Number of paper copies and place of filing. For paper format
applications, the original and one copy of each such application for
Special Tariff Permission, including all exhibits thereto and amendments
thereof, shall be sent to the Office of International Aviation,
Department of Transportation, Washington, DC 20590.
(c) Who may make application. Applications for Special Tariff
Permission to file fares, or other tariff provisions on less than
statutory notice shall be made only by the issuing carrier or agent
authorized to issue and file the proposed tariff. Such application by
the issuing carrier or agent will constitute application on behalf of
all carriers participating in the proposed fares, or other tariff
provisions.
(d) When notice is required. Notice in the manner set forth in
paragraph (e) of this section is required when a carrier files an
application for Special Tariff Permission:
(1) To offer passenger fares that would be outside a Department-
established zone of price flexibility or, in markets for which the
Department has not established such a zone, outside the statutory zone
of price flexibility; or
[[Page 73]]
(2) To file any price increase or rule change that the carrier
believes is likely to be controversial.
(e) Form of notice. When notice of filing of a Special Tariff
Permission application affecting passenger fares is required by
paragraph (d) of this section, the carrier shall, when it files the
application, give immediate telegraphic notice or other notice approved
by the Office of International Aviation, to all certificated and foreign
route carriers authorized to provide nonstop or one-stop service in the
markets involved, and to civic parties that would be substantially
affected. The application shall include a list of the parties notified.
Sec.221.122 Special Tariff Permission to be used in its entirety as granted.
Each Special Tariff Permission to file fares, or other tariff
provisions on less than statutory notice shall be used in its entirety
as granted. If it is not desired to use the permission as granted, and
lesser or more extensive or different permission is desired, a new
application for Special Tariff Permission conforming with Sec.221.121
in all respects and referring to the previous permission shall be filed.
Sec.221.123 Re-use of Special Tariff Permission when tariff is rejected.
If a tariff containing matter issued under Special Tariff Permission
is rejected, the same Special Tariff Permission may be used in a tariff
issued in lieu of such rejected tariff provided that such re-use is not
precluded by the terms of the Special Tariff Permission, and is made
within the time limit thereof or within seven days after the date of the
Department's notice of rejection, whichever is later, but in no event
later than fifteen days after the expiration of the time limit specified
in the Special Tariff Permission.
Subpart N_Waiver of Tariff Regulations
Sec.221.130 Applications for waiver of tariff regulations.
Applications for waiver or modification of any of the requirements
of this part 221 or for modification of chapter 415 of the statute with
respect to the filing and posting of tariffs shall be made by the
issuing carrier or issuing agent.
Sec.221.131 Form of application for waivers.
Applications for waivers shall be in the form of a letter addressed
to the Office of International Aviation, Department of Transportation
Washington, DC 20590, and shall:
(a) Specify (by section and paragraph) the particular regulation
which the applicant desires the Department to waive.
(b) Show in detail how the proposed provisions will be shown in the
tariff under authority of such waiver if granted (submitting exhibits of
the proposed provision where necessary to clearly show this
information).
(c) Set forth all facts and circumstances on which the applicant
relies as warranting the Department's granting the authority requested.
No tariff or other documents shall be filed pursuant to such application
prior to the Department's granting the authority requested.
Subpart O_Giving and Revoking Concurrences to Carriers
Sec.221.140 Method of giving concurrence.
(a) A concurrence prepared in a manner acceptable to the Office of
International Aviation shall be used by a carrier to give authority to
another carrier to issue and file with the Department tariffs which
contain joint fares or charges, including provisions governing such
fares or charges, applying to, from, or via points served by the carrier
giving the concurrence. A concurrence shall not be used as authority to
file joint fares or charges in which the carrier to whom the concurrence
is given does not participate, and it shall not be used as authority to
file local fares or charges.
(b) Number of copies. Each concurrence shall be prepared in
triplicate. The original of each concurrence shall be filed with the
Department, the duplicate thereof shall be given to the carrier in whose
favor the concurrence is issued, and the third copy shall be
[[Page 74]]
retained by the carrier who issued the concurrence.
(c) Conflicting authority to be avoided. Care should be taken to
avoid giving authority to two or more carriers which, if used, would
result in conflicting or duplicate tariff provisions.
Sec.221.141 Method of revoking concurrence.
(a) A concurrence may be revoked by filing with the Department a
Notice of Revocation of Concurrence prepared in a form acceptable to the
Office of International Aviation.
(b) Sixty days' notice required. Such Notice of Revocation of
Concurrence shall be filed on not less than sixty days' notice to the
Department. A Notice of Revocation of Concurrence will be deemed to be
filed only upon its actual receipt by the Department, and the period of
notice shall commence to run only from such actual receipt.
(c) Number of copies. Each Notice of Revocation of Concurrence shall
be prepared in triplicate. The original thereof shall be filed with the
Department and, at the same time that the original is transmitted to the
Department, the duplicate thereof shall be sent to the carrier to whom
the concurrence was given. The third copy shall be retained by the
carrier issuing such notice.
(d) Amendment of tariffs when concurrence revoked. When a
concurrence is revoked, a corresponding amendment of the tariff or
tariffs affected shall be made by the issuing carrier of such tariffs,
on not less than statutory notice, to become effective not later than
the effective date stated in the Notice of Revocation of Concurrence. In
the event of failure to so amend the tariff or tariffs, the provisions
therein shall remain applicable until lawfully canceled.
Sec.221.142 Method of withdrawing portion of authority conferred by concurrence.
If a carrier desires to issue a concurrence conferring less
authority than a previous concurrence given to the same carrier, the new
concurrence shall not direct the cancellation of such previous
concurrence. In such circumstances, such previous concurrence shall be
revoked by issuing and filing a Notice of Revocation of Concurrence in a
form acceptable to the Office of International Aviation. Such revocation
notice shall include reference to the new concurrence.
Subpart P_Giving and Revoking Powers of Attorney to Agents
Sec.221.150 Method of giving power of attorney.
(a) Prescribed form of power of attorney. A power of attorney
prepared in accordance with a form acceptable to the Office of
International Aviation shall be used by a carrier to give authority to
an agent and (in the case of the agent being an individual) such agent's
alternate to issue and file with the Department tariffs which contain
local or joint fares or charges, including provisions governing such
fares or charges, applicable via and for account of such carrier. Agents
may be only natural persons or corporations (other than incorporated
associations of air carriers). The authority conferred in a power of
attorney may not be delegated to any other person.
(b) Designation of tariff issuing person by corporate agent. When a
corporation has been appointed as agent it shall forward to the
Department a certified excerpt of the minutes of the meeting of its
Board of Directors designating by name and title the person responsible
for issuing tariffs and filing them with the Department. Only one such
person may be designated by a corporate agent, and the title of such
designee shall not contain the word ``Agent''. When such a designee is
replaced the Department shall be immediately notified in like manner of
his successor. An officer or employee of an incorporated tariff-
publishing agent may not be authorized to act as tariff agent in his/her
individual capacity. Every tariff issued by a corporate agent shall be
issued in its name as agent.
(c) Number of copies. Each power of attorney shall be prepared in
triplicate. The original of each power of attorney shall be filed with
the Department, the duplicate thereof shall be given to the agent in
whose favor the power of attorney is issued, and the third copy
[[Page 75]]
shall be retained by the carrier who issued the power of attorney.
(d) Conflicting authority prohibited. In giving powers of attorney,
carriers shall not give authority to two or more agents which, if used,
would result in conflicting or duplicate tariff provisions.
Sec.221.151 Method of revoking power of attorney.
(a) A power of attorney may be revoked only by filing with the
Department in the manner specified in this section a Notice of
Revocation of Power of Attorney in a form acceptable to the Office of
International Aviation.
(b) Sixty days' notice required. Such Notice of Revocation of Power
of Attorney shall be filed on not less than sixty days' notice to the
Department. A Notice of Revocation of Power of Attorney will be deemed
to be filed only upon its actual receipt by the Department, and the
period of notice shall commence to run only from such actual receipt.
(c) Number of copies. Each Notice of Revocation of Power of Attorney
shall be prepared in triplicate. The original thereof shall be filed
with the Department and, at the same time that the original is
transmitted to the Department, the duplicate thereof shall be sent to
the agent in whose favor the power of attorney was issued (except, if
the alternate agent has taken over the tariffs, the duplicate of the
Notice of Revocation of Power of Attorney shall be sent to the alternate
agent). The third copy of the notice shall be retained by the carrier.
(d) Amendment of tariffs when power of attorney is revoked. When a
power of attorney is revoked, a corresponding amendment of the tariff or
tariffs affected shall be made by the issuing agent of such tariffs, on
not less than statutory notice, to become effective not later than the
effective date stated in the Notice of Revocation of Power of Attorney.
In the event of failure to so amend the tariff or tariffs, the
provisions therein shall remain applicable until lawfully canceled.
Sec.221.152 Method of withdrawing portion of authority conferred by power of attorney.
If a carrier desires to issue a power of attorney conferring less
authority than a previous power of attorney issued in favor of the same
agent, the new power of attorney shall not direct the cancellation of
such previous power of attorney. In such circumstances, such previous
power of attorney shall be revoked by issuing and filing a Notice of
Revocation of Power of Attorney in a form acceptable to the Office of
International Aviation. Such revocation notice shall include reference
to the new power of attorney.
Subpart Q_Adoption Publications Required To Show Change in Carrier's
Name or Transfer of Operating Control
Sec.221.160 Adoption notice.
(a) When the name of a carrier is changed or when its operating
control is transferred to another carrier (including another company
which has not previously been a carrier), the carrier which will
thereafter operate the properties shall immediately issue, file with the
Department, and post for public inspection, an adoption notice in a form
and containing such information as is approved by the Office of
International Aviation. (The carrier under its former name or the
carrier from whom the operating control is transferred shall be referred
to in this subpart as the ``former carrier'', and the carrier under its
new name or the carrier, company, or fiduciary to whom the operating
control is transferred shall be referred to in this subpart as the
``adopting carrier''.)
(b) The adoption notice shall be prepared, filed, and posted as a
tariff. The adoption notice shall be issued and filed by the adopting
carrier and not by an agent.
(c) Copies to be sent to agents and other carriers. At the same time
that the adoption notice is transmitted to the Department for filing,
the adopting carrier shall send copies of such adoption notice to each
agent and carrier to whom the former carrier has given a
[[Page 76]]
power of attorney or concurrence. (See Sec.221.163.)
Sec.221.161 Notice of adoption to be filed in former carrier's tariffs.
At the same time that the adoption notice is issued, posted, and
filed pursuant to Sec.221.160, the adopting carrier shall issue, post
and file with the Department a notice in each effective tariff issued by
the former carrier providing specific notice of the adoption in a manner
authorized by the Office of International Aviation and which shall
contain no matter other than that authorized.
Sec.221.162 Receiver shall file adoption notices.
A receiver shall, immediately upon assuming control of a carrier,
issue and file with the Department an adoption notices as prescribed by
Sec. Sec.221.160 and 221.161 and shall comply with the requirements of
this subpart.
Sec.221.163 Agents' and other carriers' tariffs shall reflect adoption.
If the former carrier is shown as a participating carrier under
concurrence in tariffs issued by other carriers or is shown as a
participating carrier under power of attorney in tariffs issued by
agents, the issuing carriers and agents of such tariffs shall, upon
receipt of the adoption notice, promptly file on statutory notice the
following amendments to their respective tariffs:
(a) Cancel the name of the former carrier from the list of
participating carriers.
(b) Add the adopting carrier (in alphabetical order) to the list of
participating carriers. If the adopting carrier already participates in
such tariff, reference to the substitution notice shall be added in
connection with such carrier's name in the list of participating
carriers.
Sec.221.164 Concurrences or powers of attorney to be reissued.
(a) Adopting carrier shall reissue adopted concurrences and powers
of attorney. Within a period of 120 days after the date on which the
change in name or transfer of operating control occurs, the adopting
carrier shall reissue all effective powers of attorney and concurrences
of the former carrier by issuing and filing new powers of attorney and
concurrences, in the adopting carrier's name, which shall direct the
cancellation of the respective powers of attorney and concurrences of
the former carrier. The adopting carrier shall consecutively number its
powers of attorney and concurrences in its own series of power of
attorney numbers and concurrence numbers (commencing with No. 1 in each
series if it had not previously filed any such instruments with the
Department), except that a receiver or other fiduciary shall
consecutively number its powers of attorney or concurrences in the
series of the former carrier. The cancellation reference shall show that
the canceled power of attorney or concurrence was issued by the former
carrier.
(b) If such new powers of attorney or concurrences confer less
authority than the powers of attorney or concurrences which they are to
supersede, the new issues shall not direct the cancellation of the
former issues; in such instances, the provisions of Sec. Sec.221.142
and 221.152 shall be observed. Concurrences and powers of attorney which
will not be replaced by new issues shall be revoked in the form and
manner and upon the notice required by Sec. Sec.221.141 and 221.151.
(c) Reissue of other carriers' concurrences issued in favor of
former carrier. Each carrier which has given a concurrence to a carrier
whose tariffs are subsequently adopted shall reissue the concurrence in
favor of the adopting carrier. If the carrier which issued the
concurrence to the former carrier desires to revoke it or desires to
replace it with a concurrence conferring less authority, the provisions
of Sec. Sec.221.141 and 221.142 shall be observed.
Sec.221.165 Cessation of operations without successor.
If a carrier ceases operations without having a successor, it shall:
(a) File a notice in each tariff of its own issue and cancel such
tariff in its entirety.
(b) Revoke all powers of attorney and concurrences which it has
issued.
[[Page 77]]
Subpart R_Electronically Filed Tariffs
Sec.221.170 Applicability of the subpart.
(a) Every air carrier and foreign air carrier shall file its
international passenger fares tariffs consistent with the provisions of
this subpart, and part 221 generally. Additionally, any air carrier and
any foreign air carrier may file its international passenger rules
tariffs electronically in machine-readable form as an alternative to the
filing of printed paper tariffs as provided for elsewhere in part 221.
This subpart applies to all carriers and tariff publishing agents and
may be used by either if the carrier or agent complies with the
provisions of subpart R. Any carrier or agent that files electronically
under this subpart must transmit to the Department the remainder of the
tariff in a form consistent with part 221, Subparts A through Q, on the
same day that the electronic tariff would be deemed received under Sec.
221.190(b).
(b) To the extent that subpart R is inconsistent with the remainder
of part 221, subpart R shall govern the filing of electronic tariffs. In
all other respects, part 221 remains in full force and effect.
Sec.221.180 Requirements for electronic filing of tariffs.
(a) No carrier or filing agent shall file an electronic tariff
unless, prior to filing, it has signed a maintenance agreement or
agreements, furnished by the Department of Transportation, for the
maintenance and security of the on-line tariff database.
(b) No carrier or agent shall file an electronic tariff unless,
prior to filing, it has submitted to the Department's Office of
International Aviation, Pricing and Multilateral Affairs Division, and
received approval of, an application containing the following
commitments:
(1) The filer shall file tariffs electronically only in such format
as shall be agreed to by the filer and the Department. (The filer shall
include with its application a proposed format of tariff. The filer
shall also submit to the Department all information necessary for the
Department to determine that the proposed format will accommodate the
data elements set forth in Sec.221.202.)
(2) The filer shall provide, maintain and install in the Public
Reference Room at the Department (as may be required from time to time)
one or more CRT devices and printers connected to its on-line tariff
database. The filer shall be responsible for the transportation,
installation, and maintenance of this equipment and shall agree to
indemnify and hold harmless the Department and the U.S. Government from
any claims or liabilities resulting from defects in the equipment, its
installation or maintenance.
(3) The filer shall provide public access to its on-line tariff
database, at Departmental headquarters, during normal business hours.
(4) The access required at Departmental headquarters by this subpart
shall be provided at no cost to the public or the Department.
(5) The filer shall provide the Department access to its on-line
tariff database 24 hours a day, 7 days a week, except, that the filer
may bring its computer down between 6:00 a.m. and 6:00 p.m. Eastern
Standard Time or Eastern Daylight Saving Time, as the case may be, on
Sundays, when necessary, for maintenance or for operational reasons.
(6) The filer shall ensure that the Department shall have the sole
ability to approve or disapprove electronically any tariff filed with
the Department and the ability to note, record and retain electronically
the reasons for approval or disapproval. The carrier or agent shall not
make any changes in data or delete data after it has been transmitted
electronically, regardless of whether it is approved, disapproved, or
withdrawn. The filer shall be required to make data fields available to
the Department in any record which is part of the on-line tariff
database.
(7) The filer shall maintain all fares and rules filed with the
Department and all Departmental approvals, disapprovals and other
actions, as well as all Departmental notations concerning such
approvals, disapprovals or other actions, in the on-line tariff database
for a period of two (2) years after the fare or rule becomes inactive.
After this period of time, the carrier or agent
[[Page 78]]
shall provide the Department, free of charge, with a copy of the
inactive data on a machine-readable tape or other mutually acceptable
electronic medium.
(8) The filer shall ensure that its on-line tariff database is
secure against destruction or alteration (except as authorized by the
Department), and against tampering.
(9) Should the filer terminate its business or cease filing tariffs,
it shall provide to the Department on a machine-readable tape or any
other mutually acceptable electronic medium, contemporaneously with the
cessation of such business, a complete copy of its on-line tariff
database.
(10) The filer shall furnish to the Department, on a daily basis, on
a machine-readable tape or any other mutually acceptable electronic
medium, all transactions made to its on-line tariff database.
(11) The filer shall afford any authorized Departmental official
full, free, and uninhibited access to its facilities, databases,
documentation, records, and application programs, including support
functions, environmental security, and accounting data, for the purpose
of ensuring continued effectiveness of safeguards against threats and
hazards to the security or integrity of its electronic tariffs, as
defined in this subpart.
(12) The filer must provide a field in the Government Filing File
for the signature of the approving U.S. Government Official through the
use of a Personal Identification Number (PIN).
(13) The filer shall provide a leased dedicated data conditioned
circuit with sufficient capacity (not less than 28.8K baud rate) to
handle electronic data transmissions to the Department. Further, the
filer must provide for a secondary or a redundancy circuit in the event
of the failure of the dedicated circuit. The secondary or redundancy
circuit must be equal to or greater than 14.4K baud rate. In the event
of a failure of the primary circuit the filer must notify the Chief of
the Pricing and Multilateral Affairs Division of the Department's Office
of International Aviation, as soon as possible, after the failure of the
primary circuit, but not later than two hours after failure, and must
provide the name of the contact person at the telephone company who has
the responsibility for dealing with the problem.
(c) Each time a filer's on-line tariff database is accessed by any
user during the sign-on function the following statement shall appear:
The information contained in this system is for informational
purposes only, and is a representation of tariff data that has been
formally submitted to the Department of Transportation in accordance
with applicable law or a bilateral treaty to which the U.S. Government
is a party.
Sec.221.190 Time for filing and computation of time periods.
(a) A tariff, or revision thereto, or a special tariff permission
application may be electronically filed with the Department immediately
upon compliance with Sec.221.180, and anytime thereafter, subject to
Sec.221.400. The actual date and time of filing shall be noted with
each filing.
(b) For the purpose of determining the date that a tariff, or
revision thereto, filed pursuant to this subpart, shall be deemed
received by the Department:
(1) For all electronic tariffs, or revisions thereto, filed before
5:30 p.m. local time in Washington, DC, on Federal business days, such
date shall be the actual date of filing.
(2) For all electronic tariffs, or revisions thereto, filed after
5:30 p.m. local time in Washington, DC, on Federal business days, and
for all electronic tariffs, or revisions thereto, filed on days that are
not Federal business days, such date shall be the next Federal business
day.
Sec.221.195 Requirement for filing printed material.
(a) Any tariff, or revision thereto, filed in paper format which
accompanies, governs, or otherwise affects, a tariff filed
electronically, must be received by the Department on the same date that
a tariff or revision thereto, is filed electronically with the
Department under Sec.221.190(b). Further, such paper tariff, or
revision thereto, shall be filed in accordance with the requirements of
subparts A through Q of part 221. No tariff or revision thereto, filed
electronically under this subpart, shall
[[Page 79]]
contain an effective date which is at variance with the effective date
of the supporting paper tariff, except as authorized by the Department.
(b) Any printed justifications, or other information accompanying a
tariff, or revision thereto, filed electronically under this subpart,
must be received by the Department on the same date as any tariff, or
revision thereto, filed electronically.
(c) If a filer submits a filing which fails to comply with paragraph
(a) of this section, or if the filer fails to submit the information in
conformity with paragraph (b) of this section, the filing will be
subject to rejection, denial, or disapproval, as applicable.
Sec.221.200 Content and explanation of abbreviations, reference
marks and symbols.
(a) Content. The format to be used for any electronic tariff must be
that agreed to in advance as provided for in Sec.221.180, and must
include those data elements set forth in Sec.221.202. Those portions
that are filed in paper form shall comply in all respects with part 221,
subparts A through Q.
(b) Explanation of abbreviations, reference marks and symbols.
Abbreviations, reference marks and symbols which are used in the tariff
shall be explained in each tariff.
(1) The following symbols shall be used:
R--Reduction
I--Increase
N--New Matter
X--Canceled Matter
C--Change in Footnotes, Routings, Rules or Zones
E--Denotes change in Effective Date only.
(2) Other symbols may be used only when an explanation is provided
in each tariff and such symbols are consistent throughout all the
electronically filed tariffs from that time forward.
Sec.221.201 Statement of filing with foreign governments to be shown
in air carrier's tariff filings.
(a) Every electronic tariff filed by or on behalf of an air carrier
that contains fares which, by international convention or agreement
entered into between any other country and the United States, are
required to be filed with that country, shall include the following
statement:
The rates, fares, charges, classifications, rules, regulations,
practices, and services provided herein have been filed in each country
in which filing is required by treaty, convention, or agreement entered
into between that country and the United States, in accordance with the
provisions of the applicable treaty, convention, or agreement.
(b) The statement referenced in Sec.221.201(a) may be included
with each filing advice by the inclusion of a symbol which is properly
explained.
(c) The required symbol may be omitted from an electronic tariff or
portion thereof if the tariff publication that has been filed with any
other country pursuant to its tariff regulations bears a tariff filing
designation of that country in addition to the D.O.T. number appearing
on the tariff.
Sec.221.202 The filing of tariffs and amendments to tariffs.
All electronic tariffs and amendments filed under this subpart,
including those for which authority is sought to effect changes on less
than bilateral/statutory notice under Sec.221.212, shall contain the
following data elements:
(a) A Filing Advice Status File--which shall include:
(1) Filing date and time;
(2) Filing advice number;
(3) Reference to carrier;
(4) Reference to geographic area;
(5) Effective date of amendment or tariff;
(6) A place for government action to be recorded; and
(7) Reference to the Special Tariff Permission when applicable.
(b) A Government Filing File--which shall include:
(1) Filing advice number;
(2) Carrier reference;
(3) Filing date and time;
(4) Proposed effective date;
(5) Justification text; reference to geographic area and affected
tariff number;
(6) Reference to the Special Tariff Permission when applicable;
(7) Government control data, including places for:
(i) Name of the government analyst, except that this data shall not
be made
[[Page 80]]
public, notwithstanding any other provision in this or any other
subpart;
(ii) Action taken and reasons therefor.
(iii) Remarks, except that internal Departmental data shall not be
made public, notwithstanding any other provision in this or any other
subpart;
(iv) Date action is taken; and
(v) Personal Identification Number; and
(8) Fares tariff, or proposed changes to the fares tariffs,
including:
(i) Market;
(ii) Fare code;
(iii) One-way/roundtrip (O/R);
(iv) Fare Amount;
(v) Currency;
(vi) Footnote (FN);
(vii) Rule Number, provided that, if the rule number is in a tariff,
reference shall be made to that tariff containing the rule;
(viii) Routing (RG) Number(s), provided that the abbreviation MPM
(Maximum Permissible Routing) shall be considered a number for the
purpose of this file;
(ix) Effective date and discontinue date if the record has been
superseded;
(x) Percent of change from previous fares; and
(xi) Expiration date.
(9) Rules tariff, or proposed changes to the rules tariffs.
(i) Rules tariffs shall include:
(A) Title: General description of fare rule type and geographic area
under the rule;
(B) Application: Specific description of fare class, geographic
area, type of transportation (one way, round-trip, etc.);
(C) Period of Validity: Specific description of permissible travel
dates and any restrictions on when travel is not permitted;
(D) Reservations/ticketing: Specific description of reservation and
ticketing provisions, including any advance reservation/ticketing
requirements, provisions for payment (including prepaid tickets), and
charges for any changes;
(E) Capacity Control: Specific description of any limitation on the
number of passengers, available seats, or tickets;
(F) Combinations: Specific description of permitted/restricted fare
combinations;
(G) Length of Stay: Specific description of minimum/maximum number
of days before the passenger may/must begin return travel;
(H) Stopovers: Specific description of permissible conditions,
restrictions, or charges on stopovers;
(I) Routing: Specific description of routing provisions, including
transfer provisions, whether on-line or inter-line;
(J) Discounts: Specific description of any limitations, special
conditions, and discounts on status fares, e.g. children or infants,
senior citizens, tour conductors, or travel agents, and any other
discounts;
(K) Cancellation and Refunds: Specific description of any special
conditions, charges, or credits due for cancellation or changes to
reservations, or for request for refund of purchased tickets;
(L) Group Requirements: Specific description of group size, travel
conditions, group eligibility, and documentation;
(M) Tour Requirements: Specific description of tour requirements,
including minimum price, and any stay or accommodation provisions;
(N) Sales Restrictions: Specific description of any restrictions on
the sale of tickets;
(O) Rerouting: Specific description of rerouting provisions, whether
on-line or inter-line, including any applicable charges; and
(P) Miscellaneous provisions: Any other applicable conditions.
(ii) Rules tariffs shall not contain the phrase ``intentionally left
blank''.
(10) Any material accepted by the Department for informational
purposes only shall be clearly identified as ``for informational
purposes only, not part of official tariff'', in a manner acceptable to
the Department.
(c) A Historical File--which shall include:
(1) Market;
(2) Fare code;
(3) One-way/roundtrip (O/R);
(4) Fare amount;
(5) Currency;
(6) Footnote (FN);
[[Page 81]]
(7) Rule Number, provided that, if the rule number is in a tariff
other than the fare tariff, reference shall be made to that tariff
containing the rule;
(8) Rule text applicable to each fare at the time that the fare was
in effect.
(9) Routing (RG) Number(s), provided that the abbreviation MPM
(Maximum Permissible Routing) shall be considered a number for the
purpose of this file;
(10) Effective Date;
(11) Discontinue Date;
(12) Government Action;
(13) Carrier;
(14) All inactive fares (two years);
(15) Any other fare data which is essential; and
(16) Any necessary cross reference to the Government Filing File for
research or other purposes.
Sec.221.203 Unique rule numbers required.
(a) Each ``bundled'' and ``unbundled'' normal economy fare
applicable to foreign air transportation shall bear a unique rule
number.
(b) The unique rule numbers for the fares specified in this section
shall be set by mutual agreement between the filer and the Department
prior to the implementation of any electronic filing system.
Sec.221.204 Adoption of provisions of one carrier by another carrier.
When one carrier adopts the tariffs of another carrier, the
effective and prospective fares of the adopted carrier shall be changed
to reflect the name of the adopting carrier and the effective date of
the adoption. Further, each adopted fare shall bear a notation which
shall reflect the name of the adopted carrier and the effective date of
the adoption, provided that any subsequent revision of an adopted fare
may omit the notation.
Sec.221.205 Justification and explanation for certain fares.
Any carrier or its agent must provide, as to any new or increased
bundled or unbundled (whichever is lower) on-demand economy fare in a
direct-service market, a comparison between, on the one hand, that
proposed fare and, on the other hand, the ceiling fare allowed in that
market based on the SFFL.
Sec.221.206 Statement of fares.
All fares filed electronically in direct-service markets shall be
filed as single factor fares.
Sec.221.210 Suspension of tariffs.
(a) A fare, charge, rule or other tariff provision that is suspended
by the Department pursuant to section 41509 of the statute shall be
noted by the Department in the Government Filing File and the Historical
File.
(b) When the Department vacates a tariff suspension, in full or in
part, and after notification of the carrier by the Department, such
event shall be noted by the carrier in the Government Filing File and
the Historical File.
(c) When a tariff suspension is vacated or when the tariff becomes
effective upon termination of the suspension period, the carrier or its
agent shall refile the tariff showing the effective date.
Sec.221.211 Cancellation of suspended matter.
When, pursuant to an order of the Department, the cancellation of
rules, fares, charges, or other tariff provision is required, such
action shall be made by the carrier by appropriate revisions to the
tariff.
Sec.221.212 Special tariff permission.
(a) When a filer submits an electronic tariff or an amendment to an
electronic tariff for which authority is sought to effect changes on
less than bilateral/statutory notice, and no related tariff material is
involved, the submission shall bear a sequential filing advice number.
The submission shall appear in the Government Filing File and the Filing
Advice Status File, and shall be referenced in such a manner to clearly
indicate that such changes are sought to be made on less than bilateral/
statutory notice.
(b) When a filer submits an electronic tariff or an amendment to the
electronic tariff for which authority is sought to effect changes on
less than bilateral/statutory notice, and it contains related paper
under Sec.221.195, the paper submission must bear the same
[[Page 82]]
filing advice number as that used for the electronic submission. Such
paper submission shall be in the form of a revised tariff page rather
than as a separate request for Special Tariff Permission. All material
being submitted on a paper tariff page as part of an electronic
submission will clearly indicate the portion(s) of such tariff page that
is being filed pursuant to, and in conjunction with, the electronic
submission on less than bilateral/statutory notice.
(c) Departmental action on the Special Tariff Permission request
shall be noted by the Department in the Government Filing File and the
Filing Advice Status File.
(d) When the paper portion of a Special Tariff Permission that has
been filed with the Department pursuant to paragraph (b) of this section
is disapproved or other action is taken by the Department, such
disapproval or other action will be reflected on the next consecutive
revision of the affected tariff page(s) in the following manner:
(1) Example of disapproval statement:
The portion(s) of ---- Revised Page ---- filed under EFA No. ---- was/
were disapproved by DOT.
(2) Example of other action:
The portion(s) ---- Revised Page ---- filed under EFA No. ---- was/were
required to be amended by DOT.
(e) When the Department disapproves in whole or in part or otherwise
takes an action against any submission filed under this part, the filer
must take corrective action within two business days following the
disapproval or notice of other action.
(f) All submissions under this section shall comply with the
requirements of Sec.221.202.
Sec.221.300 Discontinuation of electronic tariff system.
In the event that the electronic tariff system is discontinued, or
the source of the data is changed, or a filer discontinues its business,
all electronic data records prior to such date shall be provided
immediately to the Department, free of charge, on a machine-readable
tape or other mutually acceptable electronic medium.
Sec.221.400 Filing of paper tariffs required.
(a) After approval of any application filed under Sec.221.180 of
this subpart to allow a filer to file tariffs electronically, the filer
in addition to filing electronically must continue to file printed
tariffs as required by subparts A through Q of part 221 for a period of
90 days, or until such time as the Department shall deem such filing no
longer to be necessary: Provided that during the period specified by
this section the filed printed tariff shall continue to be the official
tariff.
(b) Upon notification to the filer that it may commence to file its
tariffs solely in an electronic mode, concurrently with the
implementation of filing electronically the filer shall:
(1) Furnish the Department with a copy of all the existing effective
and prospective records on a machine-readable tape or other mutually
acceptable electronic medium accompanied by an affidavit attesting to
the accuracy of such records; and
(2) Simultaneously cancel such records from the paper tariff in the
manner prescribed by subparts A through Q of part 221.
Sec.221.500 Transmission of electronic tariffs to subscribers.
(a) Each filer that files an electronic tariff under this subpart
shall make available to any person so requesting, a subscription service
meeting the terms of paragraph (b) of this section.
(b) Under the required subscription service, remote access shall be
allowed to any subscriber to the on-line tariff database, including
access to the justification required by Sec.221.205. The subscription
service shall not preclude the offering of additional services by the
filer or its agent.
(c) The filer at its option may establish a charge for providing the
required subscription service to subscribers: Provided that the charge
may not exceed a reasonable estimate of the added cost of providing the
service.
(d) Each filer shall provide to any person upon request, a copy of
the machine-readable data (raw tariff data) of
[[Page 83]]
all daily transactions made to its on-line tariff database. The terms
and prices for such value-added service may be set by the filer:
Provided that such terms and prices shall be non-discriminatory, i.e.,
that they shall be substantially equivalent for all similarly-situated
persons.